Fines imposed on high-profile individuals have increased steadily over the past few years
Group facing a range of market bans
Dirk Lohrisch was previously banned by IIROC
Sale of Promittere shares raises disclosure and suitabililty concerns with MFDA
$1.5 million misappropriated from six clients, IIROC says
Russell fined $150,000 for misleading statements
2011 was a record-setting year for the SEC’s enforcement division
Vaughan Spencer fined $50,000 for refusing to co-operate with investigation
Insurance Council of B.C. says Roberta McIntosh “poses a significant risk to the public”
Largest ever Office of Foreign Assets Control settlement