From July 2016 through June 2024, National Bank of Canada Financial inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) approximately 108,000 transactions without the required "No Remuneration" (NR) indicator, in violation of FINRA Rules 6730( d) and 2010. For this violation, National Bank of Canada Financial is censured and fined $70,000.

From June 2023 to September 2023, in anticipation of leaving RJA for a new firm, Curran improperly sent confidential and proprietary information from RJA’s systems, including nonpublic information about RJA’s customers, by emailing it to his personal email address and by printing and retaining documents. This information was directly relevant to Curran’s new position, and he accessed some of the information after moving to the new firm.