Panel concluded that rep was participating in proceeding anonymously
Rep fined, banned after borrowing from clients, misleading dealer
U.S. regulator alleged micro-cap CEO dumped shares on unsuspecting investors
Company sold shares to a vulnerable investor without a prospectus or exemption
The case can either proceed to a contested hearing or the two sides may seek a new deal
WealthOne paid $676,500 penalty amid compliance lapses
Regulator confirms enforcement inquiry into extended LME closure
U.S.-based scheme cost B.C. investors $1.5 million and inflicted other damage, panel said
Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law
SRO panel delayed its decision pending proof of repayment that never came