IIROC panel finds former Wellington West rep failed to ensure his recommendations were suitable for his clients
Canada Pacific Consulting targeted German and Swiss investors
Six-month prohibition from conducting securities related business for Jade Mason
Agent’s brokerage account was used for illegal insider trading of Eveready Inc. shares
Buy orders could have created an artificial sale price
Firm failed to comply with best price obligations
Montrealr rep fined $150,000 for contravening IDA rules
Credit Suisse sales exec signaled confidential information to a fund manager
The US$68 million in fines is still well below 2005’s record US$184 million
Chher diverted $60,000 from his mother to use for his own personal investments