The U.S. fixed-income trading firm has agreed to pay almost $1 million for failing to register as an exchange or investment dealer
One rep lived and worked in the United Sates and served clients over the phone
The goal of the new policy is to encourage companies and individuals to self-report securities misconduct
The Kitchener-Waterloo, Ont. advisor fled the country after misappropriating client funds
An OSC review in 2016 found significant deficiencies with the firm’s compliance systems
A BCSC panel has dismissed the MFDA's application to increase the 90-day suspension imposed on an advisor
Boyd Yahn recommended to hundreds of clients that they should invest heavily in precious metals funds
In Ontario, Alberta and Saskatchewan, names on the unpaid orders lists are erased when the debt is paid, but in B.C. and Nova Scotia, the names remain
IIROC sanctions firm for supervisory failures
An OSC hearing will consider Earl Marek’s application in November