Firm failed inform FSA of bid for AIA
Two former Desjardins Securities reps ordered to repay profits
Sanctions handed down by B.C. regulator for illegal distributions, unregistered trading
OSC sanctions against Geoffrey Cornish and Dean Tai upheld
Borrowing from a client led to potential conflict of interest
Ciardullo engaged in personal financial dealings with at least 15 clients
Fines and costs total $1.5 million; parties must disgorge $5 million, OSC says
IIROC panel dismisses allegations of “conduct unbecoming”
Regulator says firm issued misleading quarterly reports and marketing materials for private equity fund
MFDA panel finds Ontario fund rep failed to observe high standards of ethics