Pointe-Claire man borrowed money from a client without his firm’s authorization
Schiavone ordered to pay $300,000 administrative penalty, plus disgorgement and costs
Provincial regulator to hear appeal of IIROC penalty decision
Tom Mezinski reprimanded, ordered to cease trading for three years
Quebec man directed elderly client to sign blank cheques under false pretenses
Former Scotia Capital broker made excessive, unsuitable trades
Firms to pay more than US$400 million over mortgage-backed securities
Regulator says CPP failed to treat customers fairly and did not provide clear information
This year’s caseload includes an increasing number of cases involving highly complex products, transactions, and practices
Dealer and branch manager sanctioned for lax supervision of leveraged ETF recommendations