The Ontario Securities Commission (OSC) has upped a fine against a former rep after finding that an Investment Industry Regulatory Organization of Canada (IIROC) hearing panel made mistakes in its ruling.<\/p>\n
In a decision issued Tuesday, the OSC ruled in favour of IIROC enforcement staff, who had sought a review of a decision against Mark Allen Dennis handed down by a hearing panel of IIROC’s Ontario District Council in 2011.<\/p>\n
IIROC seeks review of $1 million penalty decision<\/a><\/strong><\/p>\n