Ontario regulator dismisses application by Vitug
Three reps fined and suspended
Dealers to receive information on aggregate pass rates, number of exam writers
Test rescheduled to September 2011
Phillips made unauthorized trades, personally covered client losses, IIROC finds
Bouchard permanently barred from approval as branch manager
IIROC orders Bardsley to pay $30,000 in fines and costs
Proposed reforms range from raising the limit on arbitration awards to entirely new models for dispute resolution
More seriously, the IIROC panel found that Carolann Steinhoff had attempted to frustrate or obstruct investigators
Revisions are part of SRO’s plain language initiative