B.C. broker claimed he had met two clients when he had not, and accepted trading instructions for clients from a third party
IIROC advises clients to check for any discrepancies
Former Montreal broker misrepresented her credentials
An IIROC hearing panel erred when it limited the fine against Mark Dennis to $1 million
IIROC banned Toronto rep for using client money to pay off other clients
Panel finds the firm and three of its executives violated several rules
IIROC panel imposes $20,000 fine
IIROC suspends Peregrine Canada after its U.S. parent fails
Toronto broker failed to obtain written authorization for discretionary trades
Skelton agrees to pay $30,000 fine