The request for a panel constituted of members whose mother tongue is English is “not recognized by law”
This is the province’s first sentence to be handed down in a “pump and dump” market manipulation case
Brokerage firm to pay US$4.25 million penalty
Firm ordered to cease dealing with the public
Rule breakers often evade payment by simply leaving the securities industry
The firm has terminated its employees and is winding up its business
Hearing panel finds supervisory shortcomings
The SRO described Gabriel Richard Frank as “ungovernable”
Calgary man made misleading statements to investors
Ex NBF broker transferred funds without clients’ consent and forged client signatures