New SRO sanctioned Lee Fraser Harwood, a former Registered Representative with the Halifax branch of Scotia Capital Inc. New SRO ...
CN Editor
April 28, 2023
CIRO ALLEGES MISAPPROPRIATION AND PERSONAL FINANCIAL DEALINGS BY FORMER PFSL INVESTMENTS CANADA REP FROM EDMONTON, AB
OSC ENFORCING COMPLIANCE WITH DIRECTOR AND OFFICER BANS
COMPLAINT CONFIDENTIALITY IN THE PUBLIC INTEREST
CIRO SANCTIONS FORMER SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM VANCOUVER, BC
Thank you for the feedback!!
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
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.
OSC SEEKS TO ENFORCE D&O SANCTIONS