The firm's directors and independent committee members face allegations of securities breaches
CIRO sanctions three individuals for using pre-signed forms, altering documents, and undisclosed dealings
Proposal would create new structure for retail investors to access 'long-term assets,' but responses may send regulator back to the drawing board
A former registrant must also pay $20,000 in costs after admitting to unapproved transactions
Regulatory panel finds violations in outside business activities and undisclosed investments, imposing sanctions
Regulatory panel reviews case alongside prior ruling on similar undisclosed business activities
