The pair have both been sentenced to three months in jail, followed by 18 months of probation and 125 community service, according to the OSC
Gaudet, whom the OSC had banned permanently in 1991, admitted to trading without registration and issuing securities without a prospectus
New rule amendments aim to enhance advisor report and disclosure
Polina Edry and Subramaniam Sulur were both fined, sentenced to community service and probation after pleading guilty for purchasing contact information of new mothers
Investors harmed by misconduct
The firm refused the ombudservice’s recommendation to compensate an investor who lost more than $100,000 in exempt-market investments
Insurance rep failed to disclose conviction that occurred in Hong Kong
Bank allegedly manipulated interest-rate benchmarks during financial crisis
FINRA levied a fine of US$12.5 million after years of warnings about leaks of confidential information
Regulator says firm overcharged exchange and clearing fees