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
Allen Samuel Mendelman has also been suspended 18 months in response to various infractions when he was an advisor with Canaccord Genuity
Michelle dunk pays $60,000 in restitution to Hockley Energy investors
The allegations against the firm and Dianne Stuart stemmed from the firm taking $6 million from clients and diverting it to other uses
Candice Graf ordered to pay $250,000 administrative penalty
The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients
The goal of the voluntary program is to speed up the resolution of enforcement cases