Firm penalized after client losses and violations expose gaps in compliance and oversight
Representative sanctioned for enabling Québec clients to acquire restricted securities through trades
Ontario's regulator highlights agent misconduct and calls for improved compliance
Hearing panel fines $60,000, imposes six-month ban, and requires training for future approval
The representative is fined $25,000, disgorges $7,693, and faces six months of strict supervision
The representative is fined $20,000 and suspended for 12 months for breaching sales incentive rules
