The settlement says a former director violated his firm's insider trading policy
The scheme raised US$30 million from more than 300 investors in the U.S. and Canada
U.K. regulator warns of "startling" figures
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