RBC Capital Markets ordered to pay restitution to customers for supervisory failures
Brokers may be recommending riskier, possibly unsuitable securities
Report outlines non-traditional costs of fraud
New unit to focus on improving how the U.S. watchdog analyzes and uses data
Most incidents involve fraudulent emails or malware
U.S. regulator continues to find shortcomings with firms aligning their interests with their customers
Investors urged to look beyond the hype and be watchful for pump-and-dump fraudsters
U.S. regulator signs services agreement with CBOE and C2
Alert address the risks involved with investing in physical precious metals
Regulator says disciplinary measures weren’t severe enough to deter repeat violations