The firm settled the allegations without admitting or denying the charges
The firm will pay a fine and costs to the self-regulatory organization as a result of several regulatory infractions
Applicants sought to use the frozen funds to defend themselves against alleged securities violations
Decision sends a message to the securities industry of the need to comply with regulatory requirements
Trio manipulated share price of Sungro Minerals; Penalties total more than $1.5 million
IIROC imposes five-year suspension
Rep admitted to misappropriating $143,000 from a client account
Temporary stay of June 22 order for 90 days
Most new disciplinary decisions and settlement agreements issued in other provinces automatically take effect in Alberta
The settlement stems from allegations of internal control failures at the firm