Home Enforcement

The U.S. self-regulatory organization is looking to improve arbitration payouts to clients

High angle view of mallet eyeglasses legal book in courtroom

Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement

High angle view of mallet eyeglasses legal book in courtroom

The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks

  • By: Leah Golob
  • February 2, 2018 February 2, 2018
  • 11:20
agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The dealer has implemented controls to prevent a similar issue from occurring in the future

Judge gavel, scales of justice and law books in court

An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information

Harassing and abusive conduct violates ethical principles

Closeup of mallet being hit on stacked coins at table in courtroom

Permanent trading and registration bans ordered against executives Miklos Nagy and Tony Sanfelice

High angle view of mallet eyeglasses legal book in courtroom

The respondents were allegedly “engaged in shocking misconduct” and were subsequently terminated, resigned or placed on leave

Gavel and legal books

Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says

IIROC reaches settlement with three former All Group reps

The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm