Rule changes will now all take effect on Oct. 15
Quebec City broker conducted transactions for a deceased client over several years, and impeded an IIROC investigation
IIROC has issued almost as much in disciplinary sanctions during the first quarter of 2012 as it did during calendar 2011 as a whole
Quebec City rep permitted clients to participate in a private placement of shares in a firm owned by his spouse
Rotstein and Zackheim agree to 12-month prohibition from registration
Former Raymond James manager relied on rep
Investment dealer fined $50,000 for trading error
Former Toronto rep banned for breach of IIROC rules
Rule changes, to take effect Oct. 10, aim to ensure that small investors are protected
Ernst & Young to administer the return of funds to investors