Dealer failed to failed to properly process and price the sale of Opti Canada shares
Draft guidance suggests best practices to help dealers to properly supervise client accounts that employ a strategy of borrowing to invest
IIROC to contribute $700,000 to investor advocacy group
Reports prepared under FSA authority must disclose difference in ownership threshold requirements
Propose rule aims to address specific risks that may arise from electronic trading
Motion by Hampton Securities and Peter Deeb premature, court rules
MRAC reviews each proposed amendment to the trading rules before they are submitted to IIROC’s board
Clients lost approximately $1.2 million in aggressive investment strategy
Dirk Lohrisch was previously banned by IIROC
$1.5 million misappropriated from six clients, IIROC says