Sale of Promittere shares raises disclosure and suitabililty concerns with MFDA
Vaughan Spencer fined $50,000 for refusing to co-operate with investigation
Members to serve two-year terms
Mark Gordon to succeed Larry Waite
Approved person transfers, outside business activities and transferring leverage accounts
Regulator rejects Gentile’s motion to have case dismissed
Selling shares without dealer’s approval leads to 10-year ban
Independent Accountants’ Investment Group to resign MFDA membership
Paul McKay, Holly Millar, Nick Pallotta and Sylvain Thériault join PAC
Riskier firms will be examined more frequently, regulator says