Buy orders could have created an artificial sale price
Firm failed to comply with best price obligations
Montrealr rep fined $150,000 for contravening IDA rules
Credit Suisse sales exec signaled confidential information to a fund manager
The US$68 million in fines is still well below 2005’s record US$184 million
Chher diverted $60,000 from his mother to use for his own personal investments
Panel finds Jeanette Couch misled investors, perpetrated fraud; $750,000 penalty imposed
Hearing panel denies bid by Hampton Securities chairman to remove notice
Karl Werbes ordered to pay $25,000 penalty