On October 17, 2012, a hearing panel of IIROC accepted a settlement agreement between IIROC staff and James William Watson.
The OSC has ruled in the matter of Shaun Gerard McErlean and Securus Capital Inc.
The SEC filed an emergency action against Well Advantage to freeze its assets less than 24 hours after the firm placed an order to liquidate its entire position in Nexen Inc.
On October 11, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Samuel Ryan Scoten. Scoten admitted he solicited and facilitated the purchase of shares without his employer’s consent, he engaged in discretionary trading, and that he provided IIROC staff with […]
A BCSC panel has permanently banned a man from the province’s capital markets for attempted fraud.
B.C. regulators have permanently banned a man from the province’s capital markets.
IIROC has accepted a settlement agreement between IIROC staff and Harry Richard Newman.
OSC concludes respondents contravened Ontario securities law and acted contrary to the public interest.
The OSC has issued sanctions against an Ontario man.
The Nova Scotia Securities Commission has approved a settlement agreement with a mutual fund salesperson. He's being fined $7,500.