On December 12, 2012, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Bernard Patrick King.
A British Columbia Securities Commission panel has fined and permanently banned two directors of a B.C. company who breached securities laws by selling securities without being registered.
The Financial Industry Regulatory Authority (FINRA) has ordered Pruco Securities of Newark, New Jersey, to pay more than $10.7 million in restitution to customers.
Advisor.ca has compiled the top fraud and fine stories of the day.
A British Columbia Securities Commission panel has permanently banned a B.C. man from the province’s capital markets.
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On December 22, 2011, the MFDA issued a notice of hearing commencing a disciplinary proceeding against Thomas G. Arseneau
A hearing in the matter of Imtiaz Mahamood Mohamed was held today before an MFDA panel.
On November 22, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Raymond James Ltd. Raymond James admitted it failed to ensure adequate supervision of the option trading in 23 client accounts of one registered representative. Specifically, Raymond James admitted to the following […]
Following a disciplinary hearing held on September 12, 2012, Benoît Beaulne was fined $30,000 and suspended for unsuitable sales.