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Law.

The former head of W.H. Stuart Mutuals Ltd. was also ordered to pay restitution

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

Fund suffered massive losses amid risk management failures, SEC and CFTC allege

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

A portion of the settlement agreement with the OSC will go to defrauded investors

Block letters spelling fraud, with magnifying glass

Whistleblowers "crucial" in protecting retail investors

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

Firm failed to question sales on risky exempt securities to certain clients

High angle view of mallet eyeglasses legal book in courtroom

Elderly Winnipeg widow reportedly bilked by ex-securities rep

Court.

Allegations include improper personal financial dealings and misleading investigators

Gavel and legal books

Firm gave employees trading access without approval

Business lawyer team. Working together of lawyer in the meeting.

IIROC says the advisor failed to learn “essential facts” about a client

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

The regulator alleges he breached an order imposed in a settlement agreement