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
A lack of liquid assets has led to the Winnipeg-based firm’s suspension in several provinces
Penalty against Paul Yoannou is one of the largest levied by the MFDA
Quantum Financial Services agrees to BCSC fine for repeated procedural deficiencies
The credit card company will pay $3.5 million for failing to properly account for losses in its auto finance business in 2007
Several firms and CEO pay a total of $6.6 million as part of settlement agreement
The brokers were fined $500,000 and $100,000 respectively for failing in their roles as gatekeepers
Investment advisor failed to use proper due diligence and orchestrated a private off-book investment for clients