Disgraced former mutual fund dealer Ian Thow was arrested Tuesday by members of Oregon’s fugitive task force as he left a condominium in Portland.Thow, former senior vice president of Berkshire Investment Group Inc. in Victoria, faces 25 counts of fraud. The charges cover about $10 million in phony investments that Thow allegedly sold to clients […]
Penalty reduced to $250,000
British Columbia Securities Commission panels have made reciprocal enforcement orders against 10 individuals sanctioned by securities commissions in Alberta, Ontario and New Brunswick.They are Jose Castaneda, David Simpson, Jerome Stanislaus Xavier, Lorne Drever, Harry Niles, Liedong (Leon) Gu, Blair MacDougall, William M. Mallinson, Paul Norman Oliver, and Robert Waxman.Castaneda, Simpson, Drever and Niles are subject […]
Pair admits Rockport made unreasonable financial projections in its offering documents
De facto director failed to file insider trading reports: BCSC
Castlemore to pay $5,500 in fines and fees
ASC panel decision follows similar order by BCSC
BCSC fines firm and president for advising clients without registration
The British Columbia Securities Commission has settled with an investment dealer that agreed to pay $12,000 for breaching a BCSC cease trade order.E*Trade Canada Securities Corp. admitted in a settlement that it violated a BCSC cease trade order when it sold shares of Raven Gold Corp.Raven Gold, incorporated under the laws of Nevada in 2005, […]
Jones, Gable to pay $2,000