A CIRO hearing panel under the Mutual Fund Dealer Rules found that former reps with PFSL Investments Canada in Mississauga receiv...
CN Editor
May 12, 2026
CIRO ALLEGES MISAPPROPRIATION BY FORMER SCOTIA SECURITIES REP FROM BURLINGTON, ON
IAN MCSEVNEY PLEADS GUILTY IN $5.3 MILLION INVESTMENT SCHEME
CIRO SANCTIONS FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO MEMBER NAME CHANGE: FIRST NATIONS FINANCIAL MARKETS LIMITED PARTNERSHIP
Thank you for the feedback!!
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS