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IIROC fines and suspends advisor

By The IJ Staff | April 03 2020 05:06PM
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) has sanctioned a Winnipeg advisor with a fine of $25,000 and a five-month suspension.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions