Scott Lower had applied to the commission to review IIROC’s decision to ban him from the industry
Ex rep admits to diverting money from clients, making misleading statements
Stuart McKinnon, founder of Pro-Financial Management Inc., sought to dismiss allegations against him involving principal-protected notes
Deception reveals compliance violations
The two investment industry SROs sign a disciplinary information-sharing agreement in Quebec
Wesley Weber charged following JSOT investigation
Three promoters agree to pay $100,000 each to settle allegations
The SRO’s staff proved allegations that the two former reps failed to co-operate with the MFDA’s investigation into the failed mutual fund dealer
Paul Azeff and Korin Bobrow are still serving clients pending their appeal of an OSC ban
The U.S. derivatives regulator collected more than US$2.8 billion in penalties