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B C investment dealer who oversaw unprofitable trades fined $150K

Leede Jones Gable Inc. failed to adequately supervise stockbroker Larry Martin, who admitted to failing to fulfil his gatekeeper responsibilities, states agreement.

British columbiaLarry martinCanadian securities exchangeBc securities commissionTechonologies incAbattis bioceuticals corpCryptobloc technologies corpCanadian investment regulatory organizationMarapharm ventures incInvestment industry regulatory organization of canadaPoint exploration corpLeede jones gable incLeede jones gableBridgemark groupInvestment industry regulatory organizationNew point exploration corp

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Regulators said Robert Barber, senior investment advisor for Research Capital, failed his 'gatekeeping' duties when he conducted trades for a man criminally convicted of fraud

British columbiaTiffany sweeneyDenise trainorAly babu mawjiGeoffrey whitlamPoint exploration corpBeleave incResearch capitalRobert barber of research capitalPreveceutical medical incBc securities commissionAffinor growers incMutual fund dealers associationAbattis bioceuticals corpMackie researchBeira goldfields inc

Research Capital broker fined after dealings with convict

Regulators said Robert Barber failed his 'gatekeeping' duties when he conducted trades for a a man criminally convicted of fraud.

British columbiaTiffany sweeneyGeoffrey whitlamAly babu mawjiDenise trainorPreveceutical medical incBeira goldfields incCanadian securities instituteInvestment industry regulatory organization of canadaMark financial corpManagement incMutual fund dealers associationOntario securities commissionPoint exploration corpMackie researchResearch capital

Research Capital broker fined after dealings with convict - Bowen Island Undercurrent

Regulators said Robert Barber failed his 'gatekeeping' duties when he conducted trades for a a man criminally convicted of fraud.

British columbiaDenise trainorAly babu mawjiGeoffrey whitlamTiffany sweeneyResearch capitalOntario securities commissionA canadian investment regulatory organizationMutual fund dealers associationMackie researchBc securities commissionAffinor growers incMark financial corpAbattis bioceuticals corpBeleave incPreveceutical medical inc

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict - Business News

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict - Business News
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British columbiaTiffany sweeneyDenise trainorUnsplash nicholas cappelloGeoffrey whitlamAly babu mawjiAffinor growers incManagement incInvestment industry regulatory organization of canadaMutual fund dealers associationBc securities commissionMark financial corpCanadian securities instituteA canadian investment regulatory organizationRobert barber of research capitalMackie research