Topic
investor-protection
2 stories related to this topic, newest first.
foxnews.comfinance44 days ago
CIRO Schedules Hearing to Review Settlement Agreement With Advisor Sanjeev Kumar Tejpal
A hearing panel of the Canadian Investment Regulatory Organization will consider a settlement agreement between its enforcement staff and Sanjeev Kumar Tejpal. The agreement addresses an allegation that Tejpal failed to ensure mutual fund purchases subject to a deferred sales cha…
401kspecialistmag.comfinance52 days ago
SEC Issues Alert on Phishing, Smishing and Vishing Scams Targeting Investor Accounts
The U.S. Securities and Exchange Commission warned investors about scams aiming to steal personal and financial information. The alert follows a recent executive order by President Trump to combat cybercrime. Data from the FBI and White House highlight significant losses from suc…