IDA hits former TK broker with lifetime ban
Article Abstract:
Patrick Teggart, a former broker at Thomson Kernaghan and Company Ltd., has been fined $125,000 and banned for life from the securities industry. Mr. Teggart was found guilty of improper trading practices by the Investment Dealers Association of Canada.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2003
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Wall St. settlement praised as milestone
Article Abstract:
Financial regulators in the U.S. consider a $1.4 billion settlement with Salomon Smith Barney, Merrill Lynch, and Credit Suisse First Boston to be a milestone in the country's efforts to reform the financial services industry.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2003
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IDA fines HSBC Securities
Article Abstract:
HSBC Securities (Canada) Inc. is fined $60,000 by the Investment Dealers Association of Canada for operating without enough capital.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
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