An IIROC Hearing Panel accepted a Settlement Agreement with Carlos Manuel Vargas. Mr. Vargas admitted that he traded new issues ...
CN Editor
February 25, 2019
SEC ISSUES $12 MILLION AWARD TO JOINT WHISTLEBLOWERS
CIRO SANCTIONS CLARUS SECURITIES INC. FOR GATEKEEPER FAILURES
JUSTICE DELAYED, NOT QUITE JUSTICE DENIED, PANEL SAYS
CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
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NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO