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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 ....

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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 Columbia , Tiffany Sweeney , Geoffrey Whitlam , Aly Babu Mawji , Denise Trainor , Preveceutical Medical Inc , Beira Goldfields Inc , Canadian Securities Institute , Investment Industry Regulatory Organization Of Canada , Mark Financial Corp , Management Inc , Mutual Fund Dealers Association , Ontario Securities Commission , Point Exploration Corp , Mackie Research , Research Capital , Bc Securities Commission , A Canadian Investment Regulatory Organization , Beleave Inc , Robert Barber Of Research Capital , Abattis Bioceuticals Corp , Affinor Growers Inc , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,

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. ....

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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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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 Columbia , Aly Babu Mawji , Denise Trainor , Tiffany Sweeney , Geoffrey Whitlam , Research Capital , Preveceutical Medical Inc , Mutual Fund Dealers Association , Investment Industry Regulatory Organization Of Canada , Ontario Securities Commission , Beira Goldfields Inc , Affinor Growers Inc , Mackie Research , Beleave Inc , Abattis Bioceuticals Corp , Bc Securities Commission , Point Exploration Corp , A Canadian Investment Regulatory Organization , Canadian Securities Institute , Management Inc , Robert Barber Of Research Capital , Mark Financial Corp , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,