IIROC

Ontario Court of Appeal refuses Berry appeal Fallback Image Decorative pattern

Industry

Ontario Court of Appeal refuses Berry appeal

The Court of Appeal for Ontario has refused a motion for leave to appeal made by David Berry with regard to a recent decision of the Ontario Superior Court of Justice Divisional Court. The Court also awarded $750 in costs to Market Regulation Services (RS) Inc. (now part of IIROC). In November of 2010, the […]

By Staff |March 24, 2011

2 min read

IIROC settles with Todd William Stefiuk Fallback Image Decorative pattern

Industry

IIROC settles with Todd William Stefiuk

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Todd William Stefiuk. In the agreement, Mr. Stefiuk admits his failure to disclose certain outside business activities to his firm and his involvement with clients in what is called an off-book investment […]

By Staff |March 22, 2011

1 min read

IIROC sets penalty for Benarroch, Kent, Glover and Credifinance Securities Fallback Image Decorative pattern

Industry

IIROC sets penalty for Benarroch, Kent, Glover and Credifinance Securities

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has imposed penalties against Georges Benarroch, Linda Kent, Marjorie Ann Glover and Credifinance Securities Limited, as follows: The panel also required the individuals to pay costs in the amounts of $50,000 by Mr. Benarroch, $25,000 by Ms. Kent and $25,000 by Ms. Glover. […]

By Staff |March 9, 2011

2 min read

IIROC settles with Gary John Williamson Fallback Image Decorative pattern

Industry

IIROC settles with Gary John Williamson

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Gary John Williamson. In this agreement, Mr. Williamson entered orders to purchase securities with the intention of establishing an artificial bid price, thereby improving the performance of an inventory account for which […]

By Staff |March 1, 2011

1 min read