The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts
Firms sanctioned for making misleading statements to investors
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
The man was arrested in November after he failed to appear at his trial
Current and former directors and officers will collectively pay millions of dollars more in penalties
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
Fourth province gives full enforcement toolkit to IIROC
Court reduces sanctions imposed by ASC panel
Richardson GMP advisor recommended an increasingly high-risk investment strategy
Michelle Dunk has breached previous bans