Regulator looking for feedback from stakeholders
Community Economic Development Investment Funds, which are run by non-professional managers, are intended to encourage capital raising by small, community based issuers
Andrew Leonard and his companies reprimanded, banned for 15 years
Randy Gass is a former Crown counsel with Alberta Justice
Fund dealer failed to provide close supervision to fund salesman who violated terms placed on him by the Nova Scotia Securities Commission
Allen Sheito and Gary Woods made support bids for junior mining stock
Fund dealer failed to maintain appropriate books and records
Firm fined $10,000 for late filing of reports
Regulator says it doesn’t have the authority grant declarations, compensation or costs sought by three men
Dealer fined $75,000 for failing to supervise trading