David Whidden, an engineer and resident of Windsor, Ontario, has been reprimanded and fined for helping an Ontario company jilt more than 50 investors.
From April 2008 to June 2010, an Ontario rep deposited and misused more than $19 million in investor funds. He faces disgorgement and a fine of $750,000.
FINRA has fined and suspended a U.S. branch manager, Keith Leon Bobo, Jr., for failing to supervise the sale of leveraged ETFs.
The Commission found that the panel proceeded on an incorrect principle and made an error of law in imposing a fine against Dennis, which did not achieve disgorgement of the entire amount that he was found to have misappropriated from his client.
The Certified Financial Planner Board of Standards (CFP) imposed public disciplinary actions against 19 advisors yesterday, removing all of their rights to use the CFP certification.
A disciplinary hearing in the matter of Russell Brower-Berkhoven was held today in Alberta before a three-person hearing panel of the MFDA’s Prairie Regional Council. Brown was registered in British Columbia as a mutual fund salesperson with Sterling Mutuals Inc. from November 2006 to December 2006, and from November 2007 to November 2009. He was […]
Two Ontario fund reps fined and barred from trading for client abuse.
Ontario Securities Commission has approved settlement with Boaz Manor and other key figures in the multimillion-dollar Portus financial scandal.
An Ontario business owner has been convicted of tax evasion.
A B.C. advisor has been fined $10,000 for failing to comply with anti-money laundering legislation.