Regulator imposes $5-million penalty

IIROC also permanently banned the individual from registration in any capacity.

INVESTMENT | June 02 2022 03:30PM
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…

INVESTMENT | October 07 2021 03:00PM
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…

LIFE INSURANCE | February 22 2019 01:30PM