IIROC

IIROC finds against Jean-Luc Beaudoin Fallback Image Decorative pattern

Industry

IIROC finds against Jean-Luc Beaudoin

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Jean-Luc Beaudoin violated IIROC rules by failing to properly supervise transactions by certain registered representatives who were under his supervision. The panel will meet at a future date to determine the appropriate penalty. The penalty hearing is open to the […]

By Staff |June 8, 2011

1 min read

IIROC finds against Natalie St-Amant Fallback Image Decorative pattern

Industry

IIROC finds against Natalie St-Amant

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Natalie St-Amant violated IIROC rules when she failed to observe high standards of ethics and conduct relating to transactions made in her personal account and in some of her client accounts. The panel will meet at a future date to […]

By Staff |June 8, 2011

2 min read

IIROC levies $1 million fine Fallback Image Decorative pattern

Industry

IIROC levies $1 million fine

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Harold Hee Jeen Ahn misappropriated client funds and failed to co-operate with an IIROC investigation. In issuing its decision, the panel imposed a penalty against Ahn which included a $1 million fine, a permanent ban from registering with an IIROC-regulated […]

By Staff |June 8, 2011

2 min read

Penalties in artificial bid case Fallback Image Decorative pattern

Planning and Advice

Penalties in artificial bid case

A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) has imposed penalties against five former employees of TD Securities Inc., who were found to have violated the Universal Market Integrity Rules (UMIR) by entering artificial closing bids in 323 instances over a six-month period.

By Staff |June 7, 2011

3 min read