Yu Qiong (Kevin) Li, who was formerly with TD Watherhouse Canada, was also banned permanently and ordered to pay costs of $15,000
The regulator dismissed Krishna Sammy’s application after failing to meet the new deadline of Oct. 15
Henry Sojka, who was an advisor with now-defunct Union Securities, also failed to co-operate with IIROC’s investigation into his actions
The advisor, who has also been fined $50,000, borrowed money from a client and failed to co-operate fully with the regulator’s investigation
The is being sanctioned in connection with trade reporting failures and related supervisory violations
Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
Charles Albert Martin “disregarded directives” from his dealer to stop charging service fees to clients, or providing services outside his dealer
The U.S. regulator said the bank failed to properly safeguard information generated by its analysts
Investors lost $8.8 million after being referred to firm that subsequently want bankrupt
The U.S. regulator also obtained judgments and orders for more than US$4 billion in disgorgement and penalties.