PEI man fined for recommending leveraged scheme to clients without properly explaining risks
IIROC panel finds former Calgary advisor made unsuitable recommendations, engaged in churning
Rep failed to use due diligence in recommending client purchase leveraged ETFs
Trading bans imposed on former advisor, promoters
IIROC fines firm for failing to adequately supervise rep
Former registrant recommended investor purchase exempt market securities
The misdeeds included inflating the net worth of some clients so they could qualify for a leveraged investment strategy
Former Assante rep used discount brokerage accounts to make up for client losses
IIROC suspends Winnipeg rep for KYC failings, unauthorized trades
The majority of enforcement actions handled by state securities regulators involve unlicensed individuals