Former Registered Representative at Ashland Barrow Securities; engaged in unauthorized discretionary trading in 11 client accounts. $55,000 fine, 3-year suspension, must rewrite CPH before re-registration.

Admitted to engaging in a manipulative trading scheme (spoofing) in the shares of two TSXV-listed issuers between May 2021 and Feb 2022. $310,000 disgorgement, $90,000 costs, 8-year market-participation ban.

Personal CTO issued for insider-reporting deficiencies spanning 14 trades between 2019 and 2021 across two issuers. Order revoked 2022-09-12 after remedial filings and $18,500 administrative penalty.

Panel found respondent perpetrated an illegal distribution ($4.1M raised from 62 Alberta investors without prospectus or exemption). Permanent trading ban and $250,000 administrative penalty; disgorgement of $180,000.