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Investment dealer fined by British Columbia regulator

Close to $1-million lost when firm inadvertently violated freeze order.

SOCIETY | January 24 2023 03:46PM
Regulator levies $10,000 fine for signature falsification

Retired dealing representative does not intend to return to the industry.

INVESTMENT | January 20 2023 10:30AM
British Columbia regulator levies $200,000 fine for insider trading

Firm ultimately sold private placement shares for a notable loss.

INVESTMENT | January 16 2023 04:52PM
Agent sanctioned for failing to report errors and omissions insurance lapse

Regulator levies financial penalty and costs for violating by-law.

LIFE INSURANCE | January 12 2023 03:55PM
Agent sanctioned for failing to report errors and omissions insurance lapse

Regulator levies financial penalty and costs for violating by-law.

P&C | January 12 2023 09:30AM
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Ontario registered broker fined and suspended

Broker’s application to not have particulars published denied by regulator.

P&C | January 11 2023 10:31AM
Laid off nominee sanctioned for transferring business to new agency

Previous agency complains to regulators after it begins receiving transfer letters of brokerage.

P&C | January 09 2023 04:28PM