Ex Canaccord rep fined $30,000
The Ontario Securities Commission’s former head of enforcement says there are two basic reasons to reject “no contest” settlements
Ex RBC DS rep Henry Cole misappropriated client funds, created false documents
Company allowed to operate under restrictions
FINRA sanctions firm for failing to make conflict of interest disclosures
Regulator has collected only $110.5 million of the almost $229 million in sanctions and costs levied
Registration suspended for six months
IIROC hearing to suspend firm scheduled for Tuesday
IIROC panel says rep recommended a structured product without fully understanding it
Leede Financial rep guaranteed a client account and placed discretionary trades