Firm settles allegations it failed to detect fraud targeting seniors
Suspension follows AMF investigation
Firm failed to prevent day traders based in China from breaching securities laws
Robert Lewis has to pay a fine of $175,000 for five infractions committed between 2008 and 2012 when he was an advisor with Manulife Securities
Fines total more than $650,000
Scott Lower had applied to the commission to review IIROC’s decision to ban him from the industry
Ex rep admits to diverting money from clients, making misleading statements
Stuart McKinnon, founder of Pro-Financial Management Inc., sought to dismiss allegations against him involving principal-protected notes
Deception reveals compliance violations
The two investment industry SROs sign a disciplinary information-sharing agreement in Quebec