(April 5 – 12:10 ET) – The Investment Dealers Association has disciplined a broker for conduct unbecoming a registered rep.

The IDA has fined Dennis James Hill $35,000, he is required to rewrite and pass the Conduct and Practices Handbook examination, undergo six months of strict supervision, and pay $2,675.00 towards the IDA’s investigation costs.

Hill currently works for Norstar Securities International Inc. His offenses occurred at CT Securities International Inc.

The Ontario District Council of the IDA found that from January 1997 to July 1997 Hill failed to disclose that he had an interest in a client account, and he accepted remuneration from a non-IDA member for selling securities.
-IE Staff