NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION

New SRO has scheduled a hearing concerning allegations that Lee Fraser Harwood conducted off-book investments for various clients...

You need to be a subscriber to view this article. It's free!

Sign In / Sign Up

New SRO Enforcement Off-Book

CN Editor

April 11, 2023

Click here to view source article

Related Articles

SEC OFF-CHANNEL COMMUNICATIONS SETTLEMENTS - SRO COLLATERAL CONSEQUENCES

May 09, 2025

CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK

May 02, 2025

CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK

May 01, 2025

CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK

April 30, 2025

SUBSCRIBE

Feedback

CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK

April 30, 2025

GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES

April 18, 2025

EX-ADVISORY FIRM CEO LANDS IN PRISON

April 28, 2025

OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION

April 23, 2025