OSC

Portus pre-hearing prolonged

On Friday, the OSC held a pre-hearing conference regarding its case against Portus Alternative Asset Management.

By Staff |August 13, 2012

1 min read

Two reps haunted by past misdeeds

Before crossing any regulatory lines, you should seriously consider how past mistakes can come back to bite you.

By Staff |August 3, 2012

2 min read

Unregistered rep collected $14M from investors: OSC

The OSC finds Shaun Gerard McErlean and Securus Capital breached the Ontario Securities Act by raising $14 million from eight offshore investors.

By Staff |July 23, 2012

1 min read

Broker faces quasi-criminal charges: OSC

On July 20, 2012, the OSC laid quasi-criminal charges against Abraham Herbert Grossman for operating a fraudulent fundraising scheme. Between October 2009 and February 2011, Grossman and the Strategic Gifting Group—a sole proprietorship he ran in Ontario—operated the scheme and also offered donor introduction share gifting of Dixon Perot & Champion securities, which involved four […]

By Staff |July 23, 2012

1 min read