Top conflicts related to referral arrangements, compensation practices and gifting.
New authority granted in 2020 amendment to province’s Securities Act.
Marilyn Stuart permanently banned from any trading or acting as an officer or director.
Claimants defrauded by Paul Se Hui Oei must apply no later than August 11, 2023.
Dissenting justice says irrational interpretation could lead to absurd consequences.
Close to $1-million lost when firm inadvertently violated freeze order.
Firm ultimately sold private placement shares for a notable loss.