Firm failed to pay attention to red flags in rep's trading activity
Test will use BoC-issued wholesale digital dollars
Rep sanctioned in CIRO settlement, despite lack of harm
SRO failed to prove certain allegations, investor harm
Investor tried to argue that rep's title misled the courts
Advisor sanctioned for extensive discretionary futures trading
Clients lost millions on futures trading that generated large commissions
Court tosses claim alleging the RBC DS execs pushed OSC to take enforcement action against Yorkton exec in 2001
Ex-rep sanctioned for providing disgruntled clients with false portfolio reports
Block trade in interlisted stock was executed off-exchange without regulatory approval