Representative convicted for theft from a client banned from the securities business

Regulator stops short of imposing monetary penalty, saying conviction is sufficient for general deterrence.

INVESTMENT | December 05 2023 10:19AM
Suspended firm’s ultimate designated person fined for failing to promote compliance

Deal which brought the firms’ risk adjusted capital below zero deemed reckless.

INVESTMENT | December 04 2023 10:32AM
Failing to cooperate with regulator results in permanent ban

Ignoring repeated requests for an interview also results in $50,000 for former branch manager.

INVESTMENT | December 04 2023 10:31AM
Assistant conducting business outside of their registration, costs rep $5,000 fine

Licensed assistant not registered outside of Ontario.

INVESTMENT | November 16 2023 10:11AM
Brand new dealing representative fined and suspended

Falsifying signatures six months on the job, discovered during a file review.

INVESTMENT | November 15 2023 10:28AM
Forging client signatures results in three-month suspension and fine

Dealing representative terminated after forms discovered during daily trade reviews.

INVESTMENT | November 13 2023 04:29PM
Scotia Securities fined $1-million

Firm paid $10.8-million in restitution and terminated more than 34 approved persons.

INVESTMENT | November 13 2023 10:44AM