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Enforcement
Enforcement
Regulation
MFDA bans, fines former rep
October 3, 2017
James Langton
Regulation
Acker Finley ordered to hire compliance consultant
September 28, 2017
James Langton
Regulation
BCSC chides MFDA for minimal explanation on sanctions
September 14, 2017
James Langton
Regulation
MFDA bans former rep for recommending unsuitable strategy
September 11, 2017
James Langton
Regulation
Securities commissions defend name and shame lists despite long list of unpaid penalties
September 10, 2017
Dan Healing
Regulation
Laurentian Bank Securities fined $200,000
September 7, 2017
James Langton
Regulation
Former rep asks OSC to appeal IIROC penalty
August 31, 2017
James Langton
Regulation
Mutual fund rep banned, fined $200,000
August 24, 2017
James Langton
Regulation
MFDA bans, fines mutual fund rep
August 23, 2017
James Langton
Regulation
Former fund salesperson committed fraud: BCSC panel
August 21, 2017
James Langton
Regulation
OSC approves settlement with Home Capital Group, former execs
August 9, 2017
James Langton
Regulation
Former mutual fund rep fined and banned permanently
August 3, 2017
James Langton
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