Richvale and its president defrauded investors of over $750,000
Xanthoudakis and Smith had alleged bias in OSC proceedings
Regulator imposes two-year trading ban on Asif Khan for supervisory failings
Quebec City rep permitted clients to participate in a private placement of shares in a firm owned by his spouse
Questions about proper registration concerning Daniel Sternberg, Parkwood GP and Philco Consulting were uncovered during a hedge fund sweep in 2009
Riskier firms will be examined more frequently, regulator says
Case highlights gap between mutual fund and insurance regulation
Rotstein and Zackheim agree to 12-month prohibition from registration
Former Raymond James manager relied on rep
Investment dealer fined $50,000 for trading error