Close to $1-million lost when firm inadvertently violated freeze order.
Retired dealing representative does not intend to return to the industry.
Firm ultimately sold private placement shares for a notable loss.
Regulator levies financial penalty and costs for violating by-law.
Regulator levies financial penalty and costs for violating by-law.
Broker’s application to not have particulars published denied by regulator.
Previous agency complains to regulators after it begins receiving transfer letters of brokerage.