The MFDA has commenced disciplinary proceedings with respect of Tamar Michelle Eisenberg ("Eisenberg"), a former salesperson with...
CN Editor
June 14, 2019
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
CIRO SANCTIONS FORMER SCOTIA CAPITAL REP FROM TORONTO, ON
CIRO SANCTIONS FORMER DOMINICK CAPITAL CORPORATION REP FROM TORONTO, ON
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
Thank you for the feedback!!
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
OSC SEEKS TO ENFORCE D&O SANCTIONS
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.