Sullivan facilitated a loan between clients and his son’s company
Make believers of senior management, Bourque advises
Johnson repeatedly borrowed money from clients
Absent supervisors must be reported, regulators say
International firms to implement polices for 2005
Petrossian handed 12-month suspension
A hearing panel of the Investment Dealers Association of Canada has dismissed all charges involving allegations of unbecoming conduct against two brokers with Canaccord Capital Corp.By written decision dated September 16, the panel dismissed two charges against Michael Finkelstein and one against Elizabeth Leonard. The panel dismissed a third charge against Finkelstein, with one panel […]
800 trades executed for one client
Freedman fined $35,000
Penalties to be determined at hearing