The MFDA sanctioned Roman Vendrov ("Vendrov"), a former salesperson with Shah Financial Planning Inc. in Toronto, ON. It was alle...
CN Editor
July 30, 2019
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
NEW SRO SANCTIONS FORMER RICHARDSON WEALTH LIMITED REP FROM CALGARY, AB
DECISION THAT PUT CERTAIN INVESTORS AT HEAD OF LINE IN BRIDGING RECEIVERSHIP FACES APPEAL
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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