Phillips and Wilson sold securities without first disclosing auditor’s report
Investors cautioned about unregistered firms, unlicensed mortgage broker
Scholarship plan dealer reprimanded for compliance deficiencies
False account statements minimized investor losses, regulator alleges
Members from various registration categories to serve two-year terms
New members will serve three-year terms
Liberty Consulting used powers of attorney used to provide unregistered investment advisory services
The trio were acquitted of criminal charges in January 2013
The OSC’s Investor Advisor Panel opposes the IIAC’s request for an extension on the implementation of new cost and performance reports
Three sessions designed to strengthen compliance practices