The recidivist was sentenced to 90 days in prison and two years probation
Outside and private dealings lead to $150,000 fine
Regulator alleges duo promoted and sold investments to vulnerable investors through Wealth-e Group
Other charges are unauthorized computer access and unauthorized disclosure of confidential information
The reforms represent the most extensive amendments to the province's securities laws since the legislation was introduced in 1996
More than 2,800 trades were placed in the accounts of a client with a severe impairment
The former rep has been permanently banned and ordered to pay more than $1.6 million
The vigilant enforcement of professional standards is essential to protect consumers and to maintain the integrity of the financial planning profession
Eighteen traders generated at least US$31 million in illicit profits, regulator says
Firm fined £15.4 million for its misconduct