72 firms charged since June 2015
The SRO wants the ability to enforce its hearing panel penalty decisions through Ontario’s courts as well as statutory immunity for its staff
The firm’s director was fined $250,000 and permanently banned almost 10 years after the fraud was uncovered
QED Benchmark Management LLC and Peter Kuperman agree to reimburse investors US$2.9 million losses
Former HollisWealth advisor admitted to soliciting and accepting more than $2 million from clients and others and depositing those funds into accounts under his control
Grant Manning engaged in personal financial dealings with a client, misled dealers
Money from promissory notes used to finance drug addiction
Fine and temporary prohibition against Edward Rempel intended as deterrent
James Yaworski pleads guilty to 12 counts of breaching provincial securities law
Wealth management subsidiaries fail to disclose conflicts of interest