Fines and costs total $1.5 million; parties must disgorge $5 million, OSC says
IIROC panel dismisses allegations of “conduct unbecoming”
Regulator says firm issued misleading quarterly reports and marketing materials for private equity fund
MFDA panel finds Ontario fund rep failed to observe high standards of ethics
Regulator issued temporary freeze as it investigated alleged Ponzi scheme
Regulator not pursuing monetary penalties against Peter Sbaraglia because his companies have been put into receivership
Fund dealer failed to maintain appropriate books and records
Vancouver man falsified commission forms, IIROC panel finds
2012 report shows that over half of new enforcement cases include allegations of fraud
Conville given six-month suspension