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

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

Replies	Last post
Investment firm fined for failing to register in British Columbia Started by The Web Team BC Securities Commission	0 Replies 779 Views	January 05, 2008, 01:00:14 AM by The Web Team
2008/10 CEO fined and banned for committing fraud and misrepresenting investment Started by The Web Team BC Securities Commission	0 Replies 800 Views	February 12, 2008, 09:00:18 AM by The Web Team
2008/18 Firm fined for advising investors without registration in British Columbia Started by The Web Team BC Securities Commission	0 Replies 746 Views	February 28, 2008, 01:00:47 AM by The Web Team
2008/19 Alberta investment firm fined for advising clients without B.C. registration Started by The Web Team BC Securities Commission	0 Replies 767 Views	February 28, 2008, 01:00:47 AM by The Web Team
2008/22 Canadian regulators propose enhancements to registration regime [CSA] Started by The Web Team BC Securities Commission	0 Replies 740 Views	March 01, 2008, 04:00:30 AM by The Web Team
2008/50 Quebec-based investment firm fined for failing to register in British Columbia Started by The Web Team BC Securities Commission	0 Replies 882 Views	August 12, 2008, 12:15:06 AM by The Web Team
2008/52 Firm pays $5,250 to BCSC for advising without registration Started by The Web Team BC Securities Commission	0 Replies 909 Views	August 15, 2008, 02:03:32 AM by The Web Team
2008/55 BCSC makes reciprocal orders based on Manitoba and Ontario decisions Started by The Web Team BC Securities Commission	0 Replies 965 Views	September 03, 2008, 11:09:38 PM by The Web Team
2008/65 Quebec-based investment firm fined for advising in B.C. without registration Started by The Web Team BC Securities Commission	0 Replies 894 Views	October 04, 2008, 08:00:29 AM by The Web Team
2008/79 Investment firm fined for breaching BCSC cease trade order Started by The Web Team BC Securities Commission	0 Replies 1268 Views	December 02, 2008, 12:59:43 AM by The Web Team

Subject / Started by

Replies

Last post

Investment firm fined for failing to register in British Columbia

Started by The Web Team BC Securities Commission

0 Replies
779 Views