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Investment dealer fined by British Columbia regulator

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By The IJ Staff | Jan. 24, 2023, 3:46 p.m.

Flash | BRITISH COLUMBIA SECURITIES COMMISSION (BCSC) | Disciplinary Decisions

Close to $1-million lost when firm inadvertently violated freeze order.

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Copying client signatures nets representative one-year ban and monetary sanctions

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BRITISH COLUMBIA SECURITIES COMMISSION (BCSC)

Conflicts of interest highlighted in British Columbia compliance review

British Columbia regulator to issue penalties without hearings

British Columbia joins other jurisdictions in banning W.H. Stuart principal

Investors harmed by former insurance broker able to claim some restitution

Disciplinary Decisions

Regulator fines representative for manipulative market activity

Former broker fined $30,000 for fraudulent activity

Representative sanctioned and fined $40,000 for off-book transactions

Distributing confidential information to competing companies nets $2,500 fine