Regulator imposes $5-million penalty
IIROC also permanently banned the individual from registration in any capacity.
Former rep fined heavily and banned for two years
An IIROC hearing panel found him liable for failing to know his client, and for excessive trading that was outside the b
Regulator fines former trader $620,000
The Investment Industry Regulatory Organization of Canada (IIROC) has fined a former trader $620,000 and given him a one
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