Former Peak Securities rep had undisclosed financial arrangements with clients
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Investment firm granted bankruptcy protection
Trades could have created an artificial price for two TSXV securities
James Wenman loaned his client money on three separate occasions without the consent of his firm
CIBC WM rep failed to use due diligence on orders from two clients
Hampton Securities’ application for review is premature; SRO’s authority derived from contractual powers
Regulators have asked the court to rule than an earlier order does not prevent them from distributing $59.875 million received from five investment dealers
Ex RBC DS reps engaged in outside business activities without disclosure and authorization
Jamie and Idan Cohen handed 20-year bans