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IIROC reaches settlement with three former All Group reps

Two men convicted of securities law violations lose bid to appeal convictions and penalties

All nine Supreme Court justices dismissed appeals from Ronald Aitkens and Jeremy Peers, who are both facing Securities Act charges in two unrelated cases

  • By: IE Staff
  • February 24, 2017 December 19, 2017
  • 12:05
Court rules in favour of labour-sponsored venture fund against fund manager

The plaintiffs had argued that they incurred increases in the cost of insurance on certain policies, representing breaches of the terms of their insurance contracts

The investors allege that their broker mismanaged their accounts and that the firm is vicariously liable

SCC decisions prompt shareholder advocacy group to recommend that legislators should follow Ontario’s lead

Alberta court finds that a former mutual fund rep with Pewter Financial is owed more than $130,000 in unpaid commissions

Although the court struck down several of the proposed grounds for a class action, a couple of claims will be considered at a certification motion in October

The judge sided with the defendants, ruling that the case was brought after the two-year limitation period had expired

The judge found the former employee had made errors in judgment in dealing with a subordinate, but these errors did not justify dismissal

Litigation lawyers are divided about the potential effects of a new rule imposing a best interest test on advisors