Industry News

Sentry announces 3 key appointments

Sentry Investments has announced three key executive appointments.

By Staff |February 15, 2013

1 min read

Real-estate company broadcasts false TV ads

A Canadian real-estate company has admitted to taking part in a “manipulative marketing scheme."

February 15, 2013

1 min read

IIROC hands down ruling on multiple violations

Following a disciplinary hearing held from October 1-4, 2012 in Edmonton, Alberta, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), found that Charles B. Floyd made unsuitable recommendations and discretionary purchases in a client's account and that James Gordon McDonald failed to supervise the account.

By Staff |February 15, 2013

2 min read

ASC busts insider trading scheme

The Alberta Securities Commission (ASC) has ruled that John (Bert) Holtby, Dale Holtby, John Shepert, Kenneth Burdeyney and Randall Kowalchuk engaged in illegal insider trading of Edmonton-based Eveready Inc. shares.

By Staff |February 15, 2013

2 min read