Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
The regulator reduced penalties against an advisor after finding errors in the SRO's decision
The client was repaid, but the funds used to repay the client came from a mysterious source
A judge has given PwC 60 days to sort out funds' finances before appointing lawyers to represent investors
The allegations stem from illegal cannabis production that was discovered in 2019
Securities regulators ordered more than $42 million in restitution, compensation and disgorgement
The Quebec regulator achieved its objectives despite the pandemic
An Ontario court will rule shortly on motions regarding investor representation
Rep fined $75,000, suspended for six months in settlement with regulators
An advisor was permanently banned after engaging in personal financial dealings with a client