Subscribe to our newsletter to get free stock market tips and investment advice! RSS Feed

Welcome, Guest. Please login or register.
Did you miss your activation email? Tagged Keywords

2008/53 Ontario investment firm fined for advising in B.C. without registration

Stock Market Forums > Securities Regulators > BC Securities Commission > 2008/53 Ontario investment firm fined for advising in B.C. without registration

Pages: [1]

	Author	Topic: 2008/53 Ontario investment firm fined for advising in B.C. without registration (Read 951 times)
0 Members and 1 Guest are viewing this topic.

The Web Team

Hero Member

Karma: 14
Posts: 8755

2008/53 Ontario investment firm fined for advising in B.C. without registration

« on: August 15, 2008, 02:03:10 PM »

2008/53 Ontario investment firm fined for advising in B.C.

without registration





Vancouver - The British Columbia Securities Commission

has settled with an Ontario-based investment firm that agreed

to pay $19,825 in fines and fees for advising clients without

being registered. Doherty & Associates Ltd., an investment

counsel and portfolio manager registered in Ontario, admitted

in a settlement agreement with the BCSC ...




http://www.bcsc.bc.ca/release.asp?id=6810


	Logged

The Web Team
Qwoter.com

Stock Market Forums

2008/53 Ontario investment firm fined for advising in B.C. without registration

« on: August 15, 2008, 02:03:10 PM »


	Logged

Pages: [1]

Related Topics
	Subject	Views	Started by
	Investment firm fined for failing to register in British Columbia BC Securities Commission	740	The Web Team
	2008/10 CEO fined and banned for committing fraud and misrepresenting investment BC Securities Commission	754	The Web Team
	2008/18 Firm fined for advising investors without registration in British Columbia BC Securities Commission	703	The Web Team
	2008/19 Alberta investment firm fined for advising clients without B.C. registration BC Securities Commission	729	The Web Team
	2008/36 BCSC releases registration requirements for dealers trading in U.S. OTC markets BC Securities Commission	780	The Web Team
	2008/50 Quebec-based investment firm fined for failing to register in British Columbia BC Securities Commission	841	The Web Team
	2008/52 Firm pays $5,250 to BCSC for advising without registration BC Securities Commission	867	The Web Team
	2008/55 BCSC makes reciprocal orders based on Manitoba and Ontario decisions BC Securities Commission	870	The Web Team
	2008/65 Quebec-based investment firm fined for advising in B.C. without registration BC Securities Commission	850	The Web Team
	2008/79 Investment firm fined for breaching BCSC cease trade order BC Securities Commission	1194	The Web Team

Jump to: