Regulation

Forgery costs advisor $2,500 fine

A settlement hearing in the matter of Jade Truman Kaiser Mason was held today in Halifax, Nova Scotia before a hearing panel of the MFDA's Atlantic Regional Council.

By Staff |March 15, 2012

1 min read

UMIR lapse results in $30,000 fine

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and William Geddes.

By Staff |March 15, 2012

1 min read

IIROC fines Pope & Co. $30,000

IIROC has revealed that on February 28, 2012, a hearing panel accepted a settlement agreement between IIROC staff and Pope & Company Limited.

By Staff |March 15, 2012

1 min read

Borrowing client funds gets of $250,000 fine

A disciplinary hearing in the matter of Conrad Arthur Nunweiler concluded recently in Vancouver, British Columbia, before a three-person hearing panel of the MFDA's Pacific Regional Council.

By Staff |March 14, 2012

2 min read