Julius Vitug helped an Alberta company raise approximately $10 million while under an IIROC ban
The Quebec securities regulator ordered sanctions totalling more than $8.5 million in 2015
IIROC looks to the courts to boost its collection rate in Ontario
The firms have agreed to pay more than US$9.5 million to resolve the charges
The SRO initiated 69 enforcement proceedings in 2015, up from 48 the year earlier, and concluded 65 cases resulting in total fines of $5.4 million
Oliver Folkard, Rupert Folkard and Joseph Goldfinger allegedly defrauded Toronto area investors of approximately $187,000 during the past two years
The New Jersey man was convicted of stealing millions of dollars from several clients
Although there were more cases brought in 2015, fewer regulatory proceedings were concluded during the past year, a new OSC report states
The suspension follows an OSC decision banning Paul Azeff and Korin Bobrow
Canadian regulators levied much more in monetary penalties and ordered more disgorgement and compensation in 2015