Rep sanctioned for third party app usage and failing to act as gatekeeper

More than $90,000 in fines, commission disgorgement and costs ordered after representative admits to ignoring red flags.

INVESTMENT | September 22 2022 02:49PM
Former Mackie executive sanctioned

He made loans to two corporate clients he was connected to, in an effort to help his son gain experience in the capital …

INVESTMENT | January 11 2022 04:26PM
Outside business activities end in $75k fine

A representative misled his dealer about outside business activities over the course of several years.

INVESTMENT | June 08 2021 02:17PM
Mackie and portfolio manager fined for failing to adequately supervise

Investment firm Mackie Research Capital Corporation has been fined $75,000 and costs of $10,000.

INVESTMENT | November 26 2020 12:26PM
Regulator issues over $300K in fines and costs

A regulator has issued more than $300K in fines and costs for financing and confidentiality transgressions.

INVESTMENT | October 21 2019 01:00PM