FINRA has published a list of disciplinary actions against firms and individuals for violations of FINRA rules; federal securitie...
CN Editor
July 16, 2019
COURTS MAKING LITTLE USE OF RESTITUTION ORDERS
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
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NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.