Ontario regulator ordered a total of $60.4 million in penalties, disgorgement and costs
Ex Canfin salesman banned for having personal financial dealings with a client and failing to co-operate with an investigation
Trades could have created an artificial price for two TSXV securities
James Wenman loaned his client money on three separate occasions without the consent of his firm
CIBC WM rep failed to use due diligence on orders from two clients
Fines and administrative penalties of more than $52 million; Illegal distributions remain the biggest source of enforcement activity
New freeze orders issued against Arvin Patel’s retirement savings and brokerage accounts
Hampton Securities’ application for review is premature; SRO’s authority derived from contractual powers
Regulators have asked the court to rule than an earlier order does not prevent them from distributing $59.875 million received from five investment dealers