Although securities regulators’ enforce-ment numbers were down in 2011, they are stepping up in other key areas
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person
Illegal distributions account for much the charges and investigations
65 complaints investigated
Former Peak Securities rep had undisclosed financial arrangements with clients
Investment firm granted bankruptcy protection
Ontario regulator ordered a total of $60.4 million in penalties, disgorgement and costs
Ex Canfin salesman banned for having personal financial dealings with a client and failing to co-operate with an investigation
Trades could have created an artificial price for two TSXV securities