fines

B.C. man sanctioned for illegally distributing securities Fallback Image Decorative pattern

Industry

B.C. man sanctioned for illegally distributing securities

In a settlement agreement with the British Columbia Securities Commission, Richard Gozdek has admitted that he illegally sold securities in Armadillo, a Nevada corporation.

By Staff |June 19, 2013

2 min read

IIROC fines reps $135,000 Fallback Image Decorative pattern

Industry

IIROC fines reps $135,000

Following a penalty hearing held on April 15, 2013, an IIROC hearing panel imposed several penalties on Charles B. Floyd and James Gordon McDonald.

By Staff |June 13, 2013

1 min read

IIROC fines rep $10,000 Fallback Image Decorative pattern

Industry

IIROC fines rep $10,000

On May 30, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and Yufeng Zhang.

By Staff |June 10, 2013

1 min read

IIROC fines branch manager $35,000 for inadequate supervision Fallback Image Decorative pattern

Industry

IIROC fines branch manager $35,000 for inadequate supervision

On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and John Winston Lang.

By Staff |June 10, 2013

1 min read