News from investment industry regulatory organization of canada (iiroc) - general news A wide array of domestic and global news stories; news topics include politics / government, business, technology, religion, sports/entertainment, science/nature, and health/lifestyle. Articles that appear in this section may be written in English or other languages, as well.

Jul 03, 2015, 15:25 ET

Enforcement Notice Hearing - In the matter of Mackie Research Capital Corporation - Settlement Hearing

TORONTO, July 3, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jun 29, 2015, 15:35 ET

Enforcement Notice - Hearing - IN THE MATTER OF Bryan Andrew Vickers - Penalty Hearing

TORONTO, June 29, 2015 /CNW/ - A penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization...

Jun 24, 2015, 15:00 ET

Enforcement Notice Hearing - In the matter of Kim Husebye - Appearance to set a hearing date

TORONTO, June 24, 2015 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jun 19, 2015, 15:35 ET

Enforcement Notice - Decision - IN THE MATTER OF Northern Securities Inc. and Victor Phillip Alboini - Appeal Decision

TORONTO, June 19, 2015 /CNW/ - The decisions of the Ontario Securities Commission (the "OSC") in this matter dated December 19, 2013 and September...

Jun 04, 2015, 16:15 ET

Enforcement Notice - Hearing - IN THE MATTER OF Geraldine Mannings - Settlement Hearing

VANCOUVER, June 4, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Jun 02, 2015, 16:15 ET

Enforcement Notice - Hearing - IN THE MATTER OF Steve Duchaine - Resumption of Penalty Hearing

MONTRÉAL, June 2, 2015 /CNW/ - The penalty hearing commenced on April 27, 2015 before a Hearing Panel of the Investment Industry...

May 29, 2015, 15:20 ET

Enforcement Notice Decision - IN THE MATTER OF Sheldon Don Birkeland - Settlement Accepted

CALGARY, May 29, 2015 /CNW/ - On May 7, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

May 19, 2015, 17:19 ET

Enforcement Notice - Hearing - In The Matter of Robert Connor - Appearance to set a hearing date

TORONTO, May 19, 2015 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

May 14, 2015, 16:35 ET

Enforcement Notice - Decision - IN THE MATTER OF Glenn Arthur Taggart - Settlement Accepted

TORONTO, May 14, 2015 /CNW/ - On April 30, 2015 a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted...

May 12, 2015, 17:50 ET

Enforcement Notice - Decision - In The Matter of Thomas William Dunn and Gordon Joseph Wimble - Settlement Accepted

CALGARY, May 12, 2015 /CNW/ - On April 21, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

May 12, 2015, 15:37 ET

Enforcement Notice - Clarification - Decision - IIROC Clarification re: Enforcement Notice 15-0109

TORONTO, May 12, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) issued an Enforcement Notice on May 11, 2015...

May 11, 2015, 15:40 ET

Enforcement Notice - Decision - IN THE MATTER OF Independent Trading Group (ITG) Inc. - Settlement Accepted

TORONTO, May 11, 2015 /CNW/ - On April 27, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

May 07, 2015, 16:05 ET

Enforcement Notice - Decision - IN THE MATTER OF Jean-Yves Gaudreault - Settlement Accepted

MONTRÉAL, May 7, 2015 /CNW/ - On March 23, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

May 06, 2015, 15:46 ET

Enforcement Notice - Hearing - IN THE MATTER OF Roy William Orr - Settlement Hearing

MONTRÉAL, May 6, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

May 04, 2015, 16:31 ET

Enforcement Notice - Hearing - IN THE MATTER OF John Phillip Watts and Sean Thomas Hickey - Appearance to set a hearing date

TORONTO, May 4, 2015 /CNW/ - Following a set date hearing held on February 26, 2015, in Charlottetown, Prince Edward Island, a Hearing Panel of the...

Apr 28, 2015, 16:27 ET

Enforcement Notice - Hearing - IN THE MATTER OF Krishna Sammy - Discipline Hearing

TORONTO, April 28, 2015 /CNW/ - An appearance to set a date for the disciplinary hearing in this matter was held before a Hearing Panel of the...

Apr 21, 2015, 16:30 ET

Enforcement Notice - Hearing - IN THE MATTER OF Sheldon Don Birkeland - Settlement Hearing

CALGARY, April 21, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Apr 21, 2015, 12:26 ET

Enforcement Notice - IN THE MATTER OF Glenn Arthur Taggart - Settlement Hearing

TORONTO, April 21, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Apr 17, 2015, 15:54 ET

Enforcement Notice - Hearing - IN THE MATTER OF Patrick William McLaughlin, Andrew Michael McManus and Sharon Marie Lozinski - Settlement Hearing

CALGARY, April 17, 2015 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...

Apr 16, 2015, 15:49 ET

Enforcement Notice - Hearing - IN THE MATTER OF Steve Duchaine - Penalty Hearing

MONTRÉAL, April 16, 2015 /CNW/ - A penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory...