Fearn fined $50,000 for failing to co-operate with an investigation
Cornacchia admitted to three violations
Sanctions from Calgary rep’s firm total nearly $140,000
Regulator requires information for business conduct reviews, financial exams
In fact, IIROC’s disciplinary decision rate has typically outpaced FINRA’s over the past five years
March 23 event to discuss consultation paper
Brockhouse & Cooper rep traded on inside information
Vancouver broker borrowed money from clients
Higgs effected trades in the accounts of clients based on the instructions of a third party
IIROC panel orders Shep to pay $100,000