Laprade to pay regulator $10,000
ASC panel decision follows similar order by BCSC
Proprietary Industries duo ordered to pay $1.5 million in fines and costs
Commodity futures scheme resulted in investor losses of US$7 million
The Alberta Securities Commission has extended an order temporarily prohibiting short sales of certain financial sector securities listed on the Toronto Stock Exchange. The extended order prohibits, with certain exceptions, short selling of common shares of certain financial sector issuers until 11:59 p.m., Oct. 8.On Sept. 18, the United States Securities and Exchange Commission temporarily […]
Regulator reaches settlement with Integra Investment director
An Alberta Provincial Court judge has found David Del Bianco guilty of 10 counts of failing to comply with a Feb. 14, 2003 Alberta Securities Commission (ASC) decision.The ASC decision prohibited Del Bianco from trading securities and from becoming or acting as a director or officer of any issuer for a period of four years.In […]
Regulator didn’t produce enough evidence to show that there is no genuine issue for trial, court rules
Fines total $115,000
Decision based on similar orders by NSC, OSC