| February 8, 2023 |
022-23 |
Disciplinary Decision - Offer of settlement citigroup Global Markets Inc.
|
| January 10, 2023 |
005-23 |
Disciplinary decision - Offer of settlement
Morgan Stanley & Co. LLC
|
| December 21, 2022 |
164-22 |
Disciplinary Decision — Offer of Settlement Credit Suisse Securities (USA) LLC
|
| November 29, 2022 |
151-22 |
Disciplinary decision - Offer of settlement HSBC Securities (USA) Inc.
|
| May 11, 2022 |
056-22 |
Disciplinary Decision — Offer of Settlement UBS Securities LLC
|
| 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
|
