Former Montreal broker misrepresented her credentials
An IIROC hearing panel erred when it limited the fine against Mark Dennis to $1 million
IIROC banned Toronto rep for using client money to pay off other clients
Beck settles with U.S. regulator, neither admitting nor denying the charges
Panel finds the firm and three of its executives violated several rules
IIROC panel imposes $20,000 fine
Toronto broker failed to obtain written authorization for discretionary trades
Skelton agrees to pay $30,000 fine
Warkentin submitted false documents, made misleading statements
B.C. advisor facing $100,000 fine and suspension from IIROC