CEO and CFO of WJB Capital Group sanctioned
RBC DS fined $500,000; Two Montreal brokers each fined $100,000
Dealer allowed unsuitable options trades for two clients
Investigation involved restated interim financial statements of Genesis Land Development Corp.
B.C. broker claimed he had met two clients when he had not, and accepted trading instructions for clients from a third party
Former Montreal broker misrepresented her credentials
An IIROC hearing panel erred when it limited the fine against Mark Dennis to $1 million
IIROC banned Toronto rep for using client money to pay off other clients
Beck settles with U.S. regulator, neither admitting nor denying the charges
Panel finds the firm and three of its executives violated several rules