Plan will guide IIROC’s efforts to strengthen investor protection and stakeholder confidence
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