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.