Former Toronto rep banned for breach of IIROC rules
Payment to settle charges with SEC, FINRA of failing to supervise equity analysts
Deficiencies found during Independent Accountants’ Investment Group compliance exam
Officials considering enforcement
Weeres and Donszelman banned for their roles in Shaker Management investment scheme
Watt Carmichael officers lose bid to have penalties struck down
Abel Da Silva breached three OSC cease trade orders
Letter misrepresented an investment product recommended to the client
Chau and Tulsiani sanctioned for scheme that raised over $4 million
Regulator froze retirement and brokerage accounts to preserve assets for future regulatory and common law claims