Jenifer Brekelmans traded without registration as part of her work for Bunting & Waddington
Ex DWM Securities advisor engaged in discretionary trading without the written approval of clients and his firm
Clients had limited investment knowledge: IIROC panel
Allen Sheito and Gary Woods made support bids for junior mining stock
No-contest settlements are among the proposals to be considered at the June 17 hearing
Toronto police have arrested and charged three individuals for fraud stemming from a case the OSC handled last year
Hearing set to consider a settlement with a former BMO analyst accused of insider trading
Firm made trades in securities of 14 companies that were subject to cease trade orders
SRO reports almost $3.5 million in fines, victims from vulnerable groups account for roughly 30% of cases in 2012
Regulator issues a reciprocal order to ban a B.C.-based firm and two individuals