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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. ....

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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. ....

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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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