Independent consultant to conduct review of firm’s penny stock and anti-money laundering policies
Marilyn Stuart made unauthorized transactions in “inactive” client accounts
Former High Plains officer declared to be in civil contempt
TransCap and Strata-Trade misled investors, perpetrated fraud
Pan American Metals accepted $4.7 million from customers in Canada and the U.S.
Thunder Bay, Ont.-based former financial advisor borrowed money and misappropriated funds from clients
Former Ontario-based approved person borrowed money from two clients and failed to comply with an MFDA investigation
Priest ordered to surrender $600,000
Interactive Brokers, JitneyTrade fined
Ontario-based salesman engaged in personal financial dealings with a client, failed to disclose other gainful occupation to his dealer firm