Nesbitt rep failed to provide unbiased information
Penalties total $220,000
The Ontario District Council of the Investment Dealers Association of Canada has fined the former chief financial officer of St. James Securities Inc. for failing to adequate supervise a broker.Following a May 3, disciplinary hearing, the District Council found that Edward Ing failed to adequately supervise the trading of John Illidge. The District Council also […]
Assante broker fined $5,000
Income trusts account for bulk of equity IPOs
Rep forged clients' signatures
Finds program equivalent to CSC, CPH
Bishop fined $410,000
IDA urges members to adjust trading practices
Requirements for prior approval lessened