IIROC alleged the rep misappropriated millions from elderly clients
Regulator alleged U.K.-based firm violated prohibition on advice
Review considers doing away with dedicated directors, alternate input mechanisms
Settlement follows violations including overlooking suspicious trading activity
SRO gets green light to help finance initial merger costs
Advisors exploited the firm's inadequate controls, according to a settlement agreement
Firm settles IIROC allegation of inadequately supervising new-issue trading
Regulator grants relief to allow regulated crypto marketplace
B.C. court finds unregistered, unqualified advisor must be held to industry standards
The expulsion follows a 10-year suspension of the firm