Investment scams – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 11 Dec 2024 21:36:39 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment scams – Investment Executive https://www.investmentexecutive.com 32 32 Nigerian scammers impersonating legit advisors: SEC https://www.investmentexecutive.com/news/from-the-regulators/nigerian-scammers-impersonating-legit-advisors-sec/ Wed, 11 Dec 2024 21:36:39 +0000 https://www.investmentexecutive.com/?p=498396 U.S. authorities allege that men primarily posed as female advisors

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]]> Fraud victim gets some restitution https://www.investmentexecutive.com/news/from-the-regulators/fraud-victim-gets-some-restitution/ Mon, 09 Dec 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=498190 Canadian, Nigerian law enforcement secure some recovery in crypto scam

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]]> Tribunal sanctions Nova Tech crypto scheme https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sanctions-nova-tech-crypto-scheme/ Thu, 05 Dec 2024 19:21:22 +0000 https://www.investmentexecutive.com/?p=497993 The firm and its founder were permanently banned, fined

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]]> FCA backs away from enforcement disclosure plans https://www.investmentexecutive.com/news/from-the-regulators/fca-backs-away-from-enforcement-disclosure-plans/ Thu, 28 Nov 2024 19:18:50 +0000 https://www.investmentexecutive.com/?p=497609 Regulator responds to pushback on proposal to announce investigations

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]]> FCA reveals roadmap to crypto regulation https://www.investmentexecutive.com/news/from-the-regulators/fca-reveals-roadmap-to-crypto-regulation/ Wed, 27 Nov 2024 19:59:39 +0000 https://www.investmentexecutive.com/?p=497560 Regulator lays out plans for rule consultations with new regime due in 2026

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]]> FSB sounds alarm on AI risk https://www.investmentexecutive.com/news/from-the-regulators/fsb-sounds-alarm-on-ai-risk/ Thu, 14 Nov 2024 20:22:33 +0000 https://www.investmentexecutive.com/?p=496759 Growing AI adoption poses rising financial stability risks too, group warns

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]]> Failed U.S. bank’s investors to see some restitution https://www.investmentexecutive.com/news/from-the-regulators/failed-u-s-banks-investors-to-see-some-restitution/ Tue, 05 Nov 2024 17:31:10 +0000 https://www.investmentexecutive.com/?p=496059 CEO embezzled bank funds in crypto "pig butchering" scheme

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]]> Canadian pleads guilty in global pump-and-dump https://www.investmentexecutive.com/news/from-the-regulators/canadian-pleads-guilty-in-global-pump-and-dump/ Mon, 04 Nov 2024 22:06:28 +0000 https://www.investmentexecutive.com/?p=495999 Alleged mastermind to be sentenced in U.S. court next May

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]]> Pyramid schemer banned in OSC settlement https://www.investmentexecutive.com/news/from-the-regulators/pyramid-schemer-banned-in-osc-settlement/ Thu, 31 Oct 2024 16:51:00 +0000 https://www.investmentexecutive.com/?p=495808 Venture that led to conviction also violated securities rules, regulator says

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]]> Investment fraudsters embrace innovation https://www.investmentexecutive.com/news/from-the-regulators/investment-fraudsters-embrace-innovation/ Tue, 22 Oct 2024 21:35:44 +0000 https://www.investmentexecutive.com/?p=495299 Tech, crypto schemes top threats to investors, including seniors, NASAA reports

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