A higher collection rate last year means more money for harmed investors, the regulator says
Rep was acquitted of charge but failed to disclose it to the OSC twice
Regulators issued more investor alerts and bans
The longtime advisor, who had no previous disciplinary history, cooperated with IIROC’s investigation
The regulators’ actions resulted in multiple jail sentences as well
The Surrey man had failed a proficiency course three times
Misappropriated investor funds were used to purchase a Bentley, a Maserati and a Range Rover
Three former audit partners at KPMG have settled allegations with the SEC