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

Replies	Last post
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. Started by The Web Team SEC Administrative Proceedings	0 Replies 969 Views	August 08, 2007, 01:47:18 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 803 Views	February 12, 2008, 09:00:18 AM by The Web Team
2008/12 BCSC EXECUTIVE DIRECTOR'S BULLETIN: Securities regulator alleges three British Columbia men committed fraud Started by The Web Team BC Securities Commission	0 Replies 1658 Views	February 21, 2008, 01:01:00 AM by The Web Team
2008/12 BCSC Executive Director's Bulletin: Securities regulator alleges three British Columbia men committed fraud Started by The Web Team BC Securities Commission	0 Replies 1586 Views	February 27, 2008, 01:00:36 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 749 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 769 Views	February 28, 2008, 01:00:47 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 885 Views	August 12, 2008, 12:15:06 AM by The Web Team
2008/53 Ontario investment firm fined for advising in B.C. without registration Started by The Web Team BC Securities Commission	0 Replies 997 Views	August 16, 2008, 01:03:10 AM 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 896 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 1274 Views	December 02, 2008, 12:59:43 AM by The Web Team

Subject / Started by

Replies

Last post

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

Started by The Web Team SEC Administrative Proceedings

0 Replies
969 Views