Regulatory

Ontario man fined for aiding scammers

David Whidden, an engineer and resident of Windsor, Ontario, has been reprimanded and fined for helping an Ontario company jilt more than 50 investors.

By Staff |September 11, 2012

3 min read

Don’t get caught in regulatory traps

Registration requirements are strict and might stand in the way of an advisor providing access to an investment that’s truly in the client’s best interests.

September 11, 2012

4 min read

Ontario rep disgorged, fined $750,000

From April 2008 to June 2010, an Ontario rep deposited and misused more than $19 million in investor funds. He faces disgorgement and a fine of $750,000.

By Staff |September 10, 2012

2 min read

Regulators freeze assets of 2 B.C. residents

A BCSC panel has revoked a temporary order and maintained a freeze order against two Burnaby residents and an unregistered Burnaby company.

By Staff |September 7, 2012

1 min read