Carla-Marie Aksomitis was found to have stolen approximately $119,000 from a total of 29 clients with Royal Mutual Funds and Royal Bank of Canada
Son tipped father ahead of merger deals, OSC alleges
Appeal of OSC decision that found fund managers “committed multiple breaches of their fiduciary obligations” was dismissed
An MFDA hearing panel announced a $7-million fine for Dianne Stuart and a $1-million fine for Howard Stuart
Stephens, Inc. fined US$900,000
A regulatory hearing panel has ordered that Rodney Warren also be suspended for 90 days, pay costs of $10,000 and face strict supervision
Mark Allen Dennis Dennis exploited his relationship with his clients and breached their trust
Agreement will strengthen consumer protection in Ontario and British Columbia
The founders have also been ordered to pay $50,000 toward the costs of the hearing, but monetary policies will come “in due course”
John Doe has admitted to making misstatements about an extra-marital affair as well as unauthorized disclosure of confidential information