Calgary branch manager failed to supervise client accounts
Dealers encouraged to comment on draft rules
Faiello handed 2-year suspension
Alerts provide information on education events and investment scams
Imposes one month suspension
Penalty hearing to be held at a later date
Ontario woman made discretionary trades without appproval
Imposes five year suspension
The amendments have been waiting for final approval from the securities commissions since 2004
85% of complaints resolved within 6 months or less