A possible judicial review of the OSC’s decision is pending
OSC overturns IIROC decision against Mark McQuillen
Northern Securities CEO in conflict of interest
Former advisor sold over $300,000 in shares without registration or filing a prospectus
Regulator denies appeal by Sterling Grace & Co., chief compliance officer
Jacques Scribnock facing criminal charges
Firm failed to provide clients best execution in 22,000 transactions
IIROC last year dismissed charges against David Berry, Mark McQuillen’s former boss
Off-book transactions used to purchase real estate
Robert McPherson gets jail sentence for illegally raising funds for several resource firms