Regulators

Ex-fund rep banned for life after exploiting own mother

Respondent borrowed almost $150,000 from 88-year-old client to support gambling activities and fund lifestyle

Ex-fund rep banned for life after exploiting own mother

Advisor fired by CIBC fined $42,000 by IIROC

Agreed settlement details how respondent cost couple $190,000 and failed to disclose his membership of investment club

Advisor fired by CIBC fined $42,000 by IIROC

Banned broker gets 35-year sentence for US$25 million scheme

Fraudster, who was convicted in May, was facing more than 300 years behind bars

Banned broker gets 35-year sentence for US$25 million scheme

Vancouver mining company charged with misleading investors

Firm's announcement of $6.2-million fundraising omitted crucial information, says BC securities regulator

Vancouver mining company charged with misleading investors

MFDA permanently bans errant ex-dealing rep

Self-regulatory organization finds former dealing representative misappropriated money and engaged in personal financial dealings

MFDA permanently bans errant ex-dealing rep

Ex-advisor to pay more than $800k for defrauding sports clients

Watchdog says disgraced former advisor charged hidden and improper fees and lost millions on risky, unsuitable investments

Ex-advisor to pay more than $800k for defrauding sports clients