Motion to stay case alleging abuse of process to be heard in May
The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme
Underlying index failed to screen out tobacco sellers, regulator charged
Firm sanctioned over unapproved access to exchange's systems
Lack of jurisdiction and evidence of harm underlie the decision not to intervene
Regulators alleged the firm's onboarding process for new reps was deficient
U.S. authorities allege Quebec firm used in market manipulation
SRO alleged rep took money from a client who was a fellow fund rep
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
Side business allegedly enabled billions of stock trades