Rep admitted to misappropriating $143,000 from a client account
Temporary stay of June 22 order for 90 days
Most new disciplinary decisions and settlement agreements issued in other provinces automatically take effect in Alberta
The settlement stems from allegations of internal control failures at the firm
An investment advisor has been suspended for two years after IIROC staff appealed the decision to the OSC
Owner Issam El-Bouji to pay fine of $25,000 plus costs
U.S. regulator alleges Interinvest and Hans Peter Black funneled client assets into four stocks without disclosing Black’s interest in those companies
Regulators in emerging and developed markets should consider integrating credible deterrence into their enforcement strategies
Banned former director arranged for mining company to “sidestep” OTC Rule, regulator says
Alleged fraudster and his companies were engaged in intentional unregistered trading and committing fraud against clients