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.