Ravi Sinha fined over fake invoices
Ontario fund dealer penalized for supervisory failings and poor record keeping
Four firms charged for extending market access without registering as brokers
Regulator says David Einhorn and his hedge fund Greenlight Capital had inside information on Punch Taverns fundraising
The biggest settlement reached during the year was for US$310 million with two Alberta men
Dealer failed to supervise leveraged trades, MFDA says
Ex Canaccord rep fined $30,000
The Ontario Securities Commission’s former head of enforcement says there are two basic reasons to reject “no contest” settlements
Ex RBC DS rep Henry Cole misappropriated client funds, created false documents
Company allowed to operate under restrictions