US$5.2 million will be distributed to clients, SEC says
Two directors fined
Financial services regulators, SROs and legislators should work more closely together to kick out scoundrels and collect the money owed in fines
Firm failed to properly supervise mutual fund rep
The firm settled the allegations without admitting or denying the charges
The firm will pay a fine and costs to the self-regulatory organization as a result of several regulatory infractions
Applicants sought to use the frozen funds to defend themselves against alleged securities violations
Decision sends a message to the securities industry of the need to comply with regulatory requirements
Trio manipulated share price of Sungro Minerals; Penalties total more than $1.5 million
IIROC imposes five-year suspension