$450,000 administrative penalty was negotiated before court established $100,000 maximum limit
Budai receives lifetime ban
Aberdene head approved misleading press releases
The executive director of the British Columbia Securities Commission has issued a notice of hearing to extend a temporary order issued against a European-based bank that holds an account at a B.C. investment dealer where suspicious trading activity took place during a spam campaign.The notice of hearing states that Liechtenstein-based Hypo Alpe-Adria Bank AG trades […]
Investment scheme resulted in at least $1.8 million in investor losses
Company director failed to file insider reports
Lathigee and Pasquill admit to illegally distributing securities
Rempel illegally sold $1.2 million in securities to local investors
A British Columbia Securities Commission panel have imposed sanctions against a former Vancouver-based securities salesperson who failed to ensure that certain speculative and illiquid investments were suitable for her clients.The panel ordered Jill MacGregor Bock to pay a $25,000 administrative penalty for violating securities rules. The panel also decided she must not engage in investor […]
Exchange stands by its finding of unsuitability