IIROC

Failed “gatekeeper” fined $30,000 Fallback Image Decorative pattern

Industry

Failed “gatekeeper” fined $30,000

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and David Charles Parkinson.

By Staff |February 22, 2012

2 min read

IIROC fines Montreal pair $350,000 Fallback Image Decorative pattern

Industry

IIROC fines Montreal pair $350,000

On January 25th, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Konstantine Dariotis and Alfonso Fiumidinisi.

By Staff |February 14, 2012

2 min read

IIROC shuts down Barret Capital Management Fallback Image Decorative pattern

Industry

IIROC shuts down Barret Capital Management

Preferential treatment of some clients gets two reps banned for 20 years, with fines totally $225,000.

By Staff |February 13, 2012

2 min read

Manager fined for poor oversight Fallback Image Decorative pattern

Industry

Manager fined for poor oversight

IIROC finds this branch manager failed to properly supervise suspicious transactions by registered representatives who were under his supervision.

By Staff |February 2, 2012

1 min read