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Bahamas broker Seton Securities International fined in Canada for unlicensed operations

September 10, 2018 by David Marchant

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Bahamas-based broker/dealer Seton Securities International Ltd., which is operated by Canadian Jay Gotlieb, has agreed to pay C$35,000 to the Alberta Securities Commission for operating without a license.

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1 COMMENTS

  • David Breth
    By David Brethon Friday, October 26, 2018 6:48:33 PM

    Jay Gotlieb has been legally cleared of all infractions and those court documents stating said facts are public record.

    We hunt for red flags in high-value, cross-border finance by monitoring offshore and onshore courts, regulatory actions, offering documents, and other sources - and email you the results.

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