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BCSC PANEL FINDS THAT PORT MOODY RESIDENT FAILED TO COMPLY WITH DEMAND

A BC Securities Commission (BCSC) panel has found that a Port Moody resident failed to produce records and obstructed justice. The BCSC served Brandon Wade Boddy with a demand to produce records in ...

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CIRO
CIRO SANCTIONS FORMER DEALING REP WITH SCOTIA SECURITIES IN VICTORIA, BC
May 13, 2026

A CIRO hearing panel accepted a settlement agreement with Gaurav (Gavin) Banerjee, a former Dealing Rep with Scotia Securities in...

OSC
OSC’S INVESTOR ADVISORY PANEL RELEASES 2025 ANNUAL REPORT
May 13, 2026

The Ontario Securities Commission’s Investor Advisory Panel (IAP) released its 2025 Annual Report summarizing its activities, su...

FCA
FCA BANS OWNER AND DIRECTOR OF BLUESKY WEALTH MANAGEMENT
May 13, 2026

The FCA has banned Frank Breuer from working in UK financial services and fined him £755,000 for repeatedly acting without integr...

CIRO
CIRO FINDS FORMER REPS WITH PFSL INVESTMENTS CANADA IN MISSISSAUGA LIABLE FOR PERSONAL FINANCIAL DEALING
May 12, 2026

A CIRO hearing panel under the Mutual Fund Dealer Rules found that former reps with PFSL Investments Canada in Mississauga receiv...

OSC
OSC SETTLES FORMER EXECUTIVES OF MEDIVOLVE FOR MATERIAL MISSTATEMENTS
May 12, 2026

The Capital Markets Tribunal approved settlement agreements between the OSC, Stan Bharti and Neil Said. Both Mr. Bharti and Mr. S...

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