MFDA

Leverage use costs FundEX $100,000 Fallback Image Decorative pattern

Industry

Leverage use costs FundEX $100,000

A settlement hearing in the matter of FundEX Investments Inc. was held in Toronto, Ontario before a hearing panel of the MFDA's Central Regional Council.

By Staff |January 30, 2012

2 min read

MFDA fines Stuart Mutuals $45,000 Fallback Image Decorative pattern

Industry

MFDA fines Stuart Mutuals $45,000

A settlement hearing in the matter of W. H. Stuart Mutuals Ltd. was held today in Toronto, Ontario before a hearing panel of the MFDA's Central Regional Council.

By Staff |January 27, 2012

2 min read

OSC has trouble collecting sanctions Fallback Image Decorative pattern

Industry

OSC has trouble collecting sanctions

From the time it became eligible to collect monetary sanctions against industry wrongdoers in 2005, the Ontario Securities Commission has collected less than half of what’s due, according to a report issued by the regulator today.

By Philip Porado |January 18, 2012

2 min read

Panel tosses $1.3 million client complaint Fallback Image Decorative pattern

Industry

Panel tosses $1.3 million client complaint

Merrill Lynch was handed a victory by a U.S. arbitration panel after expert witnesses testified the portfolio in question was diversified.

By Staff |January 18, 2012

1 min read