Industry News

Broker makes 9 unauthorized sales Fallback Image Decorative pattern

Industry

Broker makes 9 unauthorized sales

Daniel Micha, a broker with RBC Capital Markets in 2009 has been fined and suspended by FINRA because he made trades that were unauthorized by his client and then failed to report her complaints. On August 18, 2009, Micha sold nine securities positions with a total worth of $326,000 without his client’s consent. Soon after, […]

By Staff |June 22, 2012

1 min read

Former Dundee rep fined $200,000 Fallback Image Decorative pattern

Industry

Former Dundee rep fined $200,000

On June 4, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and James Gwilym Jones. Jones admitted he failed to use due diligence to learn and remain informed of the essential facts relative to six clients, and failed to ensure recommendations were […]

By Staff |June 22, 2012

1 min read

Oracle billionaire invests in Hawaiian island Fallback Image Decorative pattern

Industry

Oracle billionaire invests in Hawaiian island

Do you have exciting vacation plans for the summer? Oracle billionaire CEO is buying his own land in Hawaii, pineapple island in Lanai.

By Wire services |June 22, 2012

2 min read

3 estate planning mistakes Fallback Image Decorative pattern

Estate Planning

3 estate planning mistakes

The majority of Canadians (78%) have no experience managing an estate, finds a CIBC poll.

By Staff |June 22, 2012

2 min read

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