The SRO announced plans in April to introduce a minor contravention program
Man used falsified documents to apply for a personal line of credit
The ASC imposed a one-year ban on the man in 2015
Settlement agreement also includes a $40,000 fine, $5,000 in costs
Genus Capital Management will pay back $1.67 million to clients
A panel said the firm failed to put client interests ahead of its own
Settlements generate US$89 million in restitution
Defendant pleads guilty to his role in the scheme
Woman was permanently banned and ordered to pay $2.24 million in 2017
Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties