Penalty against Paul Yoannou is one of the largest levied by the MFDA
Quantum Financial Services agrees to BCSC fine for repeated procedural deficiencies
The credit card company will pay $3.5 million for failing to properly account for losses in its auto finance business in 2007
Several firms and CEO pay a total of $6.6 million as part of settlement agreement
The brokers were fined $500,000 and $100,000 respectively for failing in their roles as gatekeepers
Investment advisor failed to use proper due diligence and orchestrated a private off-book investment for clients
Ex rep failed to inform his firm of personal financial dealings with a client
Moore settles with OSC, SEC
Trader’s activity put Rochdale Securities out of business
Former rep fined $50,000 over mortgage scheme