The MFDA announced that it has issued a Notice of Settlement Hearing, dated March 1, 2019, regarding a proposed settlement agreem...
CN Editor
March 14, 2019
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
CIRO ALLEGES FAILURE TO COOPERATE BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM TORONTO, ON
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA REP FROM WOODBRIDGE, ON
Thank you for the feedback!!
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS