LVM Canada fine cut to $20,000 from $40,000
U.S. investors prefer equity funds
Document walks investors through opening a retail account
A hearing panel of the Investment Dealers Association of Canada fined a former chief operating officer of IPC Securities Corp. $40,000 for failing to supervise IPC’s inventory and error accounts.John Alexander, was a vice president, director, COO and registered representative with the Toronto office of IPC Securities.On August 3, 2005, the hearing panel accepted a […]
Global rep attempted to obstruct investigation
Firm failed to comply with IDA by-laws
Bassett banned for failing to co-operate with investigation
But income trust issuance soars
Stewart previously fined for unauthorized trading
Broker failed to learn details of debentures he recommended to clients