On April 25, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and Syvert Mytting. Mytting admitted he promised to guarantee the future value of one client’s account, and then assumed a personal interest in the account. He also admitted his recommendations to […]
Following a disciplinary hearing on February 29, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) found Sammy Shieh Lung Pan liable for breach of IIROC rules. He violated Dealer Member Rules 29.1 and 1300.1(a) in loaning money to a client without the consent of his firm, and failing to make […]
On November 7, 2011, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) found Stéphane Rail guilty of failing to act in his client’s best interests and for attempting to impede the investigation by the IDA.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff, Trapeze Capital Corp., Herbert Abramson and Randall Abramson. Trapeze Capital Corp., Herbert Abramson and Randall Abramson admitted they inaccurately assessed the risk associated with many of the investments purchased on behalf of clients in managed […]
On March 29, 2012 a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Alain Laroche.
On April 18, 2012, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement between the IIROC staff, Mark Steven Rotstein and Jessica Elisabeth Zackheim. Rotstein and Zackheim admitted that for more than a decade, until March 2011, they signed client names on account- and investment-related documents and passed […]
On March 28, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and Paul Laverne Johnson.
On April 3, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and BMO Nesbitt Burns Inc.
Following a disciplinary hearing held February 28, 29 and March 1, 2012, an IIROC hearing panel found Sandy Joseph Bortolin liable for his breach of IIROC Dealer Member Rule 29.1. He engaged in undisclosed financial dealings and misled IIROC staff in their investigations.
On March 20, 2012, an IIROC hearing panel accepted a settlement agreement between IIROC staff and David Wilson Murdoch.