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
Anderson fined $250,000 for securities fraud
Regulator issues temporary order
The British Columbia Securities Commission has permanently banned a B.C. man from trading securities after he admitted to raising nearly $2.4 million through an investment scheme.Richard Robert Good cannot buy or sell securities except in limited circumstances, act as a director or officer of any issuer or engage in investor relations activities for the rest […]
Man with criminal convictions should not be disqualified from performing investor relations activities for listed companies
Pair previously sanctioned by OSC and ASC
Townsend agrees to pay BCSC $41,250
New program halts trading of companies that are the subject of a stock spam campaign
Section 26 of the B.C. Securities Act does not limit SRO’s authority