IIROC

Decorative pattern

IIROC launches equity trading guide

IIROC is helping investors understand equity trading better.

By John Powell |August 23, 2011

1 min read

Decorative pattern

IIROC sets penalty hearing for Melaney Phillips

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) will meet to consider the appropriate penalty for Melaney Phillips.

By Staff |August 22, 2011

2 min read

Decorative pattern

IIROC finds against Brian Vaughn Wilson

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Brian Vaughn Wilson made unsuitable recommendations for a client, a resident of Nova Scotia. The panel also found that Wilson engaged in unauthorized trading in that client’s account. At the disciplinary hearing held on July 26, 2011, the panel heard […]

By Staff |August 15, 2011

1 min read

Decorative pattern

Suitability lapse costs $23,000

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Radoslaw Andrzej Chrabalowski. In this agreement, Chrabalowski admits that he failed to meet his suitability obligations when he recommended an investment product for two elderly clients which was not suitable given their […]

By Staff |August 5, 2011

1 min read

Decorative pattern

IIROC settles with Morgan Stanley Canada

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has approved a settlement agreement, with sanctions, between IIROC staff and Morgan Stanley Canada Limited. In this agreement, Morgan Stanley Canada admits that it failed to properly review and address the actions of a direct market access client that was engaged in potentially […]

By Staff |August 3, 2011

2 min read

Decorative pattern

IIROC takes action on BE Resources trades

The Investment Industry Regulatory Organization of Canada (IIROC) has announced that it has taken action concerning trades in BE Resources Inc. (BER), which took place on Friday, July 22, 2011.

By Staff |July 26, 2011

1 min read

Decorative pattern

IIROC’s slush fund

IIROC currently holds over $32 million in an Externally Restricted ABCP Fund derived from fines and interest - a substantial sum of money by anybody’s standards. With IIROC expected to settle the disposition of the fund later this year, investors, advisors and legislators should consider the issues surrounding this fund and determine whether legislative and procedural changes are needed.

By James Hymas |July 25, 2011

9 min read

Decorative pattern

IIROC rules against Melaney Phillips

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Melaney Phillips violated IIROC rules by making unsuitable recommendations and discretionary purchases in client accounts, performing client services for which she was not qualified and selling some of her own shares to a client without ensuring the client obtained the […]

By Staff |July 21, 2011

2 min read

Decorative pattern

IIROC clears Christos Orestes Ilias

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has dismissed IIROC’s allegations against Christos Orestos Ilias. The panel found that Ilias did not fail to advise clients of certain deferred sales charges which applied to mutual fund investments he had recommended. As described in a news release dated February 3, 2011, […]

By Staff |July 20, 2011

1 min read

Decorative pattern

IIROC settles with Allan Mansfield Bush

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Allan Mansfield Bush. In the agreement, Bush admits that he made unsuitable investment recommendations to two clients, and that he directly compensated three clients for account losses. The penalty against Bush is […]

By Staff |July 19, 2011

1 min read

← Previous 1 … 53 54 55 56 57 … 61 Next →