RBC DS rep failed to use proper due diligence in recommending investment product to client
Former Union Securities rep ordered to pay $60,000 in fines and costs
Report aims to help firms better understand the types of exemptions that IIROC may grant
Ex Scotia Capital rep falsely endorsed client signatures
Online brokerage failed to detect potential artificial bid prices
The regulator has assured its members that fees will not increase to cover the cleanup costs
IIROC recommends firms pre-approve all third-party content before it is posted online by advisors
Ex CIBC employee misappropriated funds from client account
Ernst & Young to contact eligible Deutsche Bank Securities investors
Ex DWM Securities advisor engaged in discretionary trading without the written approval of clients and his firm