Ex rep failed to inform his firm of personal financial dealings with a client
Moore settles with OSC, SEC
Trader’s activity put Rochdale Securities out of business
Former rep fined $50,000 over mortgage scheme
Panel finds rep made unsuitable investment recommendations and personally compensated clients for account losses
OSC panel says violations began with poor record keeping
Ex Monarch Wealth rep refused to co-operate with an MFDA investigation into possible misuse of client information
NBSC orders company to repay losses to investors
Action follows OSC sanctions
Financial Conduct Authority now responsible for firms’ conduct