Company: Investment Dealers Association of Canada

IDA panel finds HSBC Securities rep guilty of unknowingly facilitating market manipulation

Penalties to be determined at a later date

• By: IE Staff
• August 24, 2007 August 24, 2007
• 09:50

IDA fines Peak Securities $30,000

Firm did not incur any financial risk as a result of short-term capital deficiency

• By: IE Staff
• August 15, 2007 August 15, 2007
• 14:40

IDA disciplines former Edward Jones rep

Richmond B.C. broker fined $45,000 and handed six week suspension

• August 14, 2007 August 14, 2007
• 14:20

IDA fines Doering $12,500

Mississauga rep traded in off book private placements

• By: IE Staff
• August 7, 2007 August 7, 2007
• 14:55

IDA Prairie office needs to address registration, internal communication and supervision issues: report

ASC releases oversight review

• By: IE Staff
• July 30, 2007 July 30, 2007
• 15:45

IDA fines Montreal man $30,000

Regulator places Brunetta under supervision for six months

• By: IE Staff
• July 19, 2007 July 19, 2007
• 11:45

IDA enhances Web site

Rules now linked to bulletins

• By: James Langton
• July 18, 2007 July 18, 2007
• 15:30

Trudel made unauthorized trades and unsuitable recommendations

• July 17, 2007 July 17, 2007
• 13:50

IDA fines 3Macs advisor $130,000

Trudeau failed to use due diligence in executing client trades

• By: IE Staff
• July 16, 2007 July 16, 2007
• 14:20

IDA imposes permanent ban on Quebec man

Regulator fines Petriello $150,000 for misappropriating client funds

• By: IE Staff
• July 12, 2007 July 12, 2007
• 07:25