Tag: TD Securities

The U.S. SEC Charged TD Securities Over Spoofing Scheme and Failure to Supervise!

Compliance tamir - October 1, 2024

TD Securities’ involvement in a spoofing scheme is a wake-up call for firms to take compliance seriously. The lack of effective supervision allowed illegal trading activities to continue for over a year. With penalties from the SEC, DOJ, and FINRA totaling over $15 million, this case reinforces the financial and reputational risks of non-compliance.

The Mysterious Death Of A Hedge Fund Manager Sends His Company Into Receivership!

OSC tamir - November 4, 2023

dge fund manager Chris Callahan, the founder of Traynor Ridge Capital, which has led the hedge fund into a state of disarray and now, receivership. The Ontario Securities Commission (OSC) has moved swiftly, placing the firm into the hands of a receiver, Ernst & Young, as disclosed during a session at the Ontario Superior Court of Justice in Toronto.

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