He received a four-year suspension.
An IIROC hearing panel found him liable for failing to know his client, and for excessive trading that was outside the b
The guidelines are aimed at helping crypto trading platforms understand and comply with requirements under securities la
The discretionary trading was discovered after the two clients submitted a complaint to CIBC about trading losses.
An offshore, unregulated entity is falsely claiming to be an IIROC-regulated online trading broker.
He admitted to discretionary trading in several client accounts and to distributing sales and marketing materials to cli
He also created a meeting note that falsely stated he met with his client to obtain the signatures in question.