In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers
The OSC is gearing up to oppose claims of improper disclosure
An OSC hearing panel approved a settlement and said the sanctions represent a deterrent
The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards
The firm pushed advisors to recommend higher-cost managed accounts to clients
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
David Sharpe alleges the regulator improperly disclosed evidence obtained in compelled testimony
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
The man allegedly stole confidential information about his employer's trade orders to make hundreds of personal trades
Investors who lost money in a case settled with regulators in 2010 are now entitled to make claims