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Advisor suspended and levied a hefty fine

He received a four-year suspension.

INVESTMENT | October 15 2021 04:01PM
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
Regulators publish guidance for crypto trading platforms

The guidelines are aimed at helping crypto trading platforms understand and comply with requirements under securities la…

INVESTMENT | September 28 2021 11:30AM
Former advisor fined for discretionary trading and conflicts of interest

The discretionary trading was discovered after the two clients submitted a complaint to CIBC about trading losses.

INVESTMENT | September 24 2021 10:49AM
Regulator issues investor warning

An offshore, unregulated entity is falsely claiming to be an IIROC-regulated online trading broker.

INVESTMENT | September 20 2021 01:13PM
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Regulator fines advisor for discretionary trading

He admitted to discretionary trading in several client accounts and to distributing sales and marketing materials to cli…

INVESTMENT | September 14 2021 03:41PM
Former dealing representative sanctioned for falsifying client signature

He also created a meeting note that falsely stated he met with his client to obtain the signatures in question.

INVESTMENT | September 13 2021 10:12AM