IIROC ordered sanctions against Northern Securites and its CEO in 2012
Regulator’s decisions reasonable, court rules
A possible judicial review of the OSC’s decision is pending
Northern Securities CEO in conflict of interest
The regulator will limit evidence that Northern Securities and Vic Alboini can give at June hearing
Commission will hold its own sanctions hearing
Ombudsman announces measures to speed up complaints resolution
Capital shortfall leads to suspension by IIROC
Commission still reviewing IIROC decision
Regulator alleges firm has been operating with a capital deficiency