The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions
Harold Backer induced clients to invest in non-existent mutual funds
The regulator alleges Marc Cohodes made misleading claims about Badger Daylighting Ltd. while shorting its stock
David Gary Durno implemented an active trading strategy for two senior clients that “generated large commissions for himself and his firm but reduced client profits”
The advisor borrowed money from a client, representing “breaches of duties which lie at the very root of the agent-client relationship”
The case against Vancouver advisor Albert Tassone returns to an IIROC hearing panel
Former investment dealer agrees to pay more than $170,000 to regulator
Vulnerable clients of Darryl Joseph Yasinowski suffered significant losses
M Partners sanctioned a second time for audit trail deficiencies
The company and several of its top executives defrauded investors and misled investigators in one of Canada’s largest corporate fraud cases