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- Trades could have created an artificial price for two TSXV securities
- Article
Ex BC rep fined $10,000
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
- The company and its two officers are not registered
- New report that proposes investor protection principles
- Kennedy unsuitable as a registrant, executive director concludes
- Investors should fully understand what they are investing in
- Hampton Securities’ application for review is premature; SRO’s authority derived from contractual powers