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Company: Investment Dealers Association of Canada

522 results found

IDA fines RBC DS rep $30,000

Herd admits to excessive trading in client's margin account

By: IE Staff
May 26, 2003 May 26, 2003
12:15

IDA bans former Burns Fry officer for life

Armstrong fined $120,000

By: IE Staff
May 22, 2003 May 22, 2003
13:15

IDA approves principal and agent relationships

By-law prohibits personal corporations

By: IE Staff
May 21, 2003 May 21, 2003
08:40

IDA clarifies dealings with U.S. residents

Notice outlines challenges faced by brokers

By: IE Staff
May 9, 2003 May 9, 2003
13:10

OSC approves proposed IDA principal and agent by-law

IDA to monitor compliance issues

By: IE Staff
May 5, 2003 May 5, 2003
10:10

Edward Jones rep fined, banned

Ahmed misled clients, borrowed funds

By: IE Staff
April 30, 2003 April 26, 2021
11:10

RBC DS branch manager, rep fined

Turpin fined $20,000, Salvatore $15,000

By: IE Staff
April 30, 2003 April 30, 2003
10:50

IDA bans, fines former TK broker

Patrick Teggart committed forgery and unauthorized trades, among other things

By: IE Staff
April 24, 2003 April 24, 2003
12:00

Increased political scrutiny opportunity for progress on securities reform

Inaction poses risk to capital markets says Oliver

By: Kate McCaffery
April 16, 2003 April 16, 2003
11:30

IDA approves ammendment to securities ownership by-law

Changes limit on "significant equity interest"

By: IE Staff
April 16, 2003 April 16, 2003
07:55