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Company: Investment Dealers Association of Canada

522 results found

IDA fines RBC DS rep $30,000

Herd admits to excessive trading in client's margin account

  • By: IE Staff
  • May 26, 2003 May 26, 2003
  • 12:15

IDA bans former Burns Fry officer for life

Armstrong fined $120,000

  • By: IE Staff
  • May 22, 2003 May 22, 2003
  • 13:15

IDA approves principal and agent relationships

By-law prohibits personal corporations

  • By: IE Staff
  • May 21, 2003 May 21, 2003
  • 08:40

IDA clarifies dealings with U.S. residents

Notice outlines challenges faced by brokers

  • By: IE Staff
  • May 9, 2003 May 9, 2003
  • 13:10

OSC approves proposed IDA principal and agent by-law

IDA to monitor compliance issues

  • By: IE Staff
  • May 5, 2003 May 5, 2003
  • 10:10

Edward Jones rep fined, banned

Ahmed misled clients, borrowed funds

  • By: IE Staff
  • April 30, 2003 April 26, 2021
  • 11:10

RBC DS branch manager, rep fined

Turpin fined $20,000, Salvatore $15,000

  • By: IE Staff
  • April 30, 2003 April 30, 2003
  • 10:50

IDA bans, fines former TK broker

Patrick Teggart committed forgery and unauthorized trades, among other things

  • By: IE Staff
  • April 24, 2003 April 24, 2003
  • 12:00

Increased political scrutiny opportunity for progress on securities reform

Inaction poses risk to capital markets says Oliver

IDA approves ammendment to securities ownership by-law

Changes limit on "significant equity interest"

  • By: IE Staff
  • April 16, 2003 April 16, 2003
  • 07:55