CIRO sanctioned Karen Elisabeth Puzara (Puzara), a former dealing representative with HollisWealth Advisory Services Inc. from Lo...
CN Editor
November 21, 2024
CIRO SANCTIONS VALEURS MOBILIERES DESJARDINS INC. REP FROM MONTREAL, QUEBEC
OSC ANNOUNCES PLANS TO DELEGATE EXPANDED REGISTRATION FUNCTIONS TO CIRO
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION
SEC CHARGES CEO WITH MISAPPROPRIATION OF $2.2 MILLION AND $6 MILLION OF ILLEGAL STOCK SALES
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TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO
CIRO SANCTIONS FORMER NATIONAL BANK FINANCIAL ASSISTANT FROM JOLIETTE, QUEBEC
CIRO SANCTIONS ROYAL MUTUAL FUNDS INC. FOR INADEQUATE CONTROLS AND SUPERVISION