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Toronto investment advisor fined $60,000

By The IJ Staff | October 10 2018 09:30AM

Photo: Freepik

The Investment Industry Regulatory Organization of Canada (IIROC) announced Oct. 9 that it has fined Sam Deones Panzures, a Toronto advisor, $60,000 plus costs of $5,000.

IIROC says Panzures “admitted that he accepted tickets to entertainment events from representatives of mutual fund companies whose funds represented the majority of his clients' holdings – contrary to Dealer Member Rules 29.1 and 29.12.”

To learn more, consult the settlement agreement on IIROC’s site.

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