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

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

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

Licensed assistant not registered outside of Ontario.

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

Dealing representative terminated after forms discovered during daily trade reviews.

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