Regulator denies appeal by Sterling Grace & Co., chief compliance officer
$12 million raised from illegally distributed promissory notes
Five former officers accused of lying to investors and misleading investigators by inflating the company’s assets and revenue
Rep introduced scholarship plan clients to an investment program beyond his registration
Hearing panel sides with Jowdat Waheed and Bruce Walter
The OSC is not impressed by fees with default options
Bulk of money earmarked for endowment fund
IIROC last year dismissed charges against David Berry, Mark McQuillen’s former boss
Investment fund manager Crown Hill, Wayne Pushka facing sanctions in excess of $20 million
Former CIBC WM advisors lose bid for adjournment