Investment firm fined for failing to register in British Columbia

Investment firm fined for failing to register in British Columbia





Vancouver - An investment firm agreed to pay the British

Columbia Securities Commission $74,050 after admitting to

advising investors without proper registration. Dorchester

Investment Management, a firm that holds registration in

Quebec and Ontario, admitted in a settlement agreement with

the BCSC that it had provided investment advice to B.C. investors ...




http://www.bcsc.bc.ca/release.asp?id=6055

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Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.

Started by The Web Team SEC Administrative Proceedings

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1991 Views