The MFDA has commenced disciplinary proceedings in respect of Kindle Briten Megan Blythe (“Blythe”) and Mohammad Movassaghi (“Mov...
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April 12, 2019
FIRM SANCTIONED OVER SYNDICATED MORTGAGE VIOLATIONS
BCSC COMPLIANCE REVIEWS REVEAL DEFICIENCIES IN MANAGING OR AVOIDING CONFLICTS OF INTEREST WITH CLIENTS
BCSC PANEL ORDERS WEST VANCOUVER MAN TO RESIGN FROM COMPANY HE FOUNDED
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
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NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS