Golden Capital Securities Ltd. – Investment Executive

Appeal court calls on BCSC to review Golden Capital decision

noelja — Tue, 27 Jul 2010 15:45:00 +0000

Regulator focused on IIROC’s conduct rather than Golden’s, court rules

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Golden Capital to appeal BCSC decision

noelja — Mon, 27 Apr 2009 19:50:00 +0000

Golden Capital Securities Ltd. intends to seek leave to appeal a British Columbia Securities Commission panel decision to uphold disciplinary action taken by the Investment Industry Regulatory Organization of Canada (IIROC) against the firm, IIROC said Monday.In late 2007 and early 2008, an IIROC hearing panel found that Golden Capital contravened IIROC bylaws by withholding […]

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BCSC upholds IIROC decisions against Golden Capital

noelja — Wed, 15 Apr 2009 15:35:00 +0000

Penalty and costs called “reasonable and appropriate”

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IIROC panel reduces fines against former Golden Capital CFO

noelja — Wed, 28 Jan 2009 21:13:00 +0000

An appeal panel of the Investment Industry Regulatory Organization of Canada has reduced fines against a Vancouver-based CFO who argued the penalty against him was unreasonably high, IIROC announced on Wednesday.In March 2008, an IIROC hearing panel found that Mark Lotz, former CFO of Golden Capital Securities Ltd., submitted false information to the IDA and […]

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IDA panel reinstates former Golden Capital rep

noelja — Tue, 25 Mar 2008 18:20:00 +0000

The Investment Dealers Association of Canada (IDA) announced today that following an expedited review hearing held on March 20, an IDA hearing panel has reinstated the registration of Gerald Danny Stefaniuk.At an expedited hearing on March 4, a hearing panel suspended the registration of Stefaniuk definitely. He subsequently requested an expedited review hearing to review […]

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Golden Capital CFO faces IDA hearing

noelja — Thu, 07 Feb 2008 17:38:00 +0000

Lotz accused failing to disclose information to his firm

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IDA panel finds Golden Capital Securities guilty

noelja — Wed, 09 Jan 2008 18:27:00 +0000

Firm withheld information needed for an investigation

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