fines

OSC hands down 15-year trading ban, disgorgement Fallback Image Decorative pattern

Industry

OSC hands down 15-year trading ban, disgorgement

OSC concludes respondents contravened Ontario securities law and acted contrary to the public interest.

By Staff |October 2, 2012

3 min read

Phony advisor must disgorge $4.6 million Fallback Image Decorative pattern

Industry

Phony advisor must disgorge $4.6 million

The OSC has issued sanctions against an Ontario man.

By Staff |September 28, 2012

2 min read

Nova Scotia mutual fund salesman fined Fallback Image Decorative pattern

Industry

Nova Scotia mutual fund salesman fined

The Nova Scotia Securities Commission has approved a settlement agreement with a mutual fund salesperson. He's being fined $7,500.

By Staff |September 21, 2012

1 min read

Ontario man fined for aiding scammers Fallback Image Decorative pattern

Industry

Ontario man fined for aiding scammers

David Whidden, an engineer and resident of Windsor, Ontario, has been reprimanded and fined for helping an Ontario company jilt more than 50 investors.

By Staff |September 11, 2012

3 min read