Not responding will result in a much harsher penalty
The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules
The organization beefed up its authority in five provinces and three territories
Alex Tapscott also settled with the SEC, paying a $25,000 civil penalty
U.S. derivatives regulator seeks restitution, disgorgement, and monetary penalties
Rep recommended and implemented extensive margin use for two retired clients
Firm alleged to have misled investors with a slide presentation
U.S. regulator alleges Berkley Capital Management defrauded clients of US$2.5 million
The SRO commenced a record 136 disciplinary proceedings last year
