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CIRO ALLEGES MISAPPROPRIATION AND PERSONAL FINANCIAL DEALINGS BY FORMER PFSL INVESTMENTS CANADA REP FROM EDMONTON, AB

CIRO alleged that Lou Albert Cruz Soco, a former Registered Dealing Representative with PFSL Investments Canada Ltd. from Edmonton, Alberta misappropriated or failed to account for clients’ monies, ...

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SIMA
SIMA ADVOCATES FOR FAIR FEES IN RESPONSE TO CIRO PROPOSAL
November 10, 2025

The Securities and Investment Management Association (SIMA) disagrees in principle with the Canadian Investment Regulatory Organi...

BCSC
B.C. MAN AND HIS COMPANY AGREE TO PAY $4 MILLION TO BCSC FOR FRAUD, MISREPRESENTATION AND ILLEGAL DISTRIBUTION
November 10, 2025

A former B.C. resident and his company have agreed to pay almost $4.2 million to the BC Securities Commission (BCSC) for fraudule...

CIRO
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CIRO
CIRO MEMBER CHANGE OF CONTROL - PINNACLE WEALTH BROKERS INC.
November 07, 2025

The Canadian Investment Regulatory Organization have approved a change of control whereby Sentinel Financial Management Corp. wil...

CIRO
CIRO MEMBER CHANGE OF CONTROL - RF CAPITAL GROUP INC.
November 07, 2025

The Canadian Investment Regulatory Organization have approved a change of control whereby iA Financial Corporation Inc. will acqu...

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