Keyword: Illegal distributions

132 results found

Hearing to consider allegations of unregistered selling of securities by Ontario-based Powerwater and its CEO

The firm raised $90 million from investors between 2005 and 2011

Enrico Bruni fined $18,000 for illegal sale of investment vehicles related to Norshield Group

AMF investigation finds investors not qualified for prospectus exemptions

Pair ordered to cease trading for 15 years, disgorge US$1 million

Convicted fraudster ordered to pay $1 million penalty

The OSC says the charge relates to David Borg’s alleged role in selling shares of Enriching Pictures

Majestic, Suncastle fined, permanently banned

April Vuong and Hao also face criminal charges

Court rejects argument that the transactions in question were actually loans, not a scheme to sell securities