Plenty of bad behaviour has dashed our hopes of cancelling “Fraud Friday” this week. Here’s a rundown of our top stories:
A settlement hearing in the matter of Hugh Blair Smilestone was recently held before a panel of the MFDA’s Atlantic Regional Council.
On December 19, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and optionsXpress Canada Corp.
A British Columbia Securities Commission panel has fined and permanently banned two directors of a B.C. company who breached securities laws by selling securities without being registered.
On November 29, 2012, the OSC held a hearing to consider whether it was in the public interest to make a sanctions order against Mohinder Ahluwalia.
The owner of a Quebec-based company, called 9136-3721 Québec Inc., pleaded guilty to tax evasion charges.