Ventum Financial reaches $2.3-million settlement with regulator on over-the-counter trading infractions

theglobeandmail.com/business/article-ventum-financial-reaches-23-million-settlement-with-regulator-on-over

Independent wealth manager Ventum Financial Corp. has reached a $2.3-million settlement agreement with regulators after confirming that it failed to supervise trading in U.S. over-the-counter stocks.
After a hearing, the Canadian Investment Regulatory Organization, or CIRO, accepted a…

This story appeared on theglobeandmail.com, 2025-06-29 19:35:58.
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