Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
Charles Albert Martin “disregarded directives” from his dealer to stop charging service fees to clients, or providing services outside his dealer
The U.S. regulator said the bank failed to properly safeguard information generated by its analysts
Investors lost $8.8 million after being referred to firm that subsequently want bankrupt
The U.S. regulator also obtained judgments and orders for more than US$4 billion in disgorgement and penalties.
Rupinder Bhathal made redemptions and misappropriated funds from two clients’ RESP accounts without their knowledge and failed to co-operate with the investigation into her conduct
The bank agreed to admit wrongdoing in misrepresenting how it determined a key performance metric for its wealth management business
The commission’s decision was “justified, transparent and intelligible,” court says
Keith Lorne Davis committed several infractions, including borrowing from a client and engaging in outside business activity from his dealer firm
Reps made unsuitable recommendations in the sale of RCNs to retail clients