Disciplinary Decisions

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DateNumberTitle
August 31, 2021 156-21 Disciplinary Decision - Offer of Settlement - BNP Paribas Securities Corp.
December 17, 2020 212-20 Disciplinary Decision - Offer of Settlement - TradeLink L.L.C.
July 15, 2020 127-20 Disciplinary decision - Offer of settlement - RBC Dominion Securities Inc.
June 17, 2020 110-20 Disciplinary Decision - Offer of Settlement - Barak Capital G.T. Ltd
January 14, 2020 005-20 Disciplinary decision - Offer of settlement - Deutsche Bank Securities Inc.
June 13, 2018 099-18 Disciplinary Decision - Offer of Settlement - Scotia Capital Inc.
January 25, 2018 011-18 Disciplinary Decision - Offer of Settlement - TD Securities Inc.
April 25, 2017 051-17 Disciplinary Decision - Offer of Settlement - Nomura International PLC Inc.
January 17, 2017 012-17 Disciplinary Decision - Offer of Settlement - ABN AMRO Clearing Chicago LLC
April 21, 2016 043-16 Disciplinary Decision - Offer of Settlement - Scotia Capital Inc.
June 3, 2015 064-15 Disciplinary Decision - BMO Nesbitt Burns Inc.
December 3, 2014 162-14 Disciplinary Decision - Offer of Settlement - Goldman, Sachs & Co.
November 12, 2014 156-14 Disciplinary Decision - Offer of Settlement - The Kyte Group Limited
June 6, 2013 111-13 Disciplinary decision - Timber Hill Canada Company
May 28, 2013 102-13 Disciplinary Decision - Offer of Settlement - G.H. Financials Ltd.
March 12, 2013 037-13 Disciplinary Decision - Offer of Settlement - RBC Dominion Securities Inc.
January 24, 2013 015-13 Disciplinary Decision - Offer of Settlement - BMO Nesbitt Burns Inc.
May 28, 2012 076-12 Disciplinary Decision - Offer of Settlement - Citigroup Global Markets Inc.
November 8, 2011 173-11 Disciplinary decision - Offer of Settlement - Desjardins Securities Inc.
September 7, 2011 140-11 Disciplinary Decision - Goldman Sachs International
May 14, 2010 063-10 Disciplinary decision - Daniel Cutts
November 17, 2008 215-08 Disciplinary decision - Deutsche Bank Securities
July 3, 2008 104-08 Disciplinary Decision - Demers Conseil inc.
January 28, 2008 021-08 Disciplinary decision - JitneyTrade Inc.
August 14, 2007 134-07 Disciplinary decision - Marc Beaudoin
March 2, 2007 039-07 Disciplinary decision - Canaccord Capital Corporation
March 2, 2007 038-07 Disciplinary decision - Man Financial Canada Co., William Edmond Jessup and Louis Paul Papailias
March 2, 2007 037-07 Disciplinary decision - RBC Dominion Securities Inc., Billy Kalushny and Philippe Vallée
December 12, 2006 204-06 Disciplinary decision - Denise Dubreuil
November 30, 2006 195-06 Disciplinary decision - Kevin Abarbanel
October 17, 2006 172-06 Disciplinary decision - BNP Paribas (Canada) Securities Inc.
October 16, 2006 170-06 Disciplinary decision - Carlo D'Angelo
August 11, 2006 146-06 Disciplinary decision - Jean-Pierre Boissé
May 9, 2006 091-06 Disciplinary decision - Laurentian Bank Securities Inc.
December 22, 2005 197-05 Disciplinary decision - Monique Fillion
December 22, 2005 196-05 Disciplinary decision - Olivier Liard
December 22, 2005 195-05 Disciplinary decision - Simon Bilodeau
December 22, 2005 194-05 Disciplinary decision - Marc Colpron
December 21, 2005 193-05 Disciplinary decision - Christian Côté
April 5, 2005 050-05 Disciplinary Decision - Paul Robert
December 17, 2004 160-04 Disciplinary Decision - TD Securities Inc.
December 8, 2004 157-04 Disciplinary Decision - Jean-Pierre Morin
April 8, 2004 043-04 Disciplinary decision - Christian Roux
April 29, 2003 055-03 Disciplinary Decision - Jean-Nicolas Brousseau
April 15, 2003 048-03 Disciplinary decision - Jean-Yves Renaud
January 23, 2003 010-03 Disciplinary decision - John Patrick Doyle
December 20, 2002 177-02 Disciplinary decision - FIMAT Derivatives Canada Inc.
December 20, 2002 176-02 Disciplinary Decision - Alain Bergeron
December 17, 2002 173-02 Disciplinary Decision - Steve Metaxas
November 5, 2002 153-02 Disciplinary Decision - Jean Laporte
September 10, 2002 123-02 Disciplinary Decision - François Noël
September 6, 2002 121-02 Disciplinary decision - André Clément
June 10, 2002 082-02 Disciplinary decision - MacDougall, MacDougall & MacTier Inc.
June 10, 2002 081-02 Disciplinary decision - Charles Athol Gordon
March 11, 2002 033-02 Disciplinary Decision - Refco Futures (Canada) Ltd.
January 22, 2002 009-02 Disciplinary Decision
December 21, 2001 225-01 Disciplinary decision
December 21, 2001 224-01 Disciplinary decision