Cartaway ruling spurs watchdogs
Article Abstract:
Two former stockbrokers at First Marathon Inc., in a case that involved Cartaway Resources Corp., were found to have violated conflict of interest rules by the British Columbia Securities Commission. The BCSC will move ahead with its invetsigation of other conflict of interest violations involving Yorkton Securities Inc. and other securities dealers.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
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When brokers are promoters
Article Abstract:
Vancouver, BC-based Yorkton Securities Inc., which is led by chief executive officer Scott Paterson, has come under investigation by securities regulators. Yorkton Securities has engaged in complex investment strategies that have involved its executives in a variety of roles as investment advisers, investors and corporate insiders.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
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Brokers face stiff penalties
Article Abstract:
An investigation by the British Columbia Securities Commission has ruled that two former stockbrokers at First Marathon Securities Ltd. The conflict-of-interest case, which may result in penalties of $1 million for each broker, involved Vancouver, BC-based Cartaway Resources Corp.
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
User Contributions:
Comment about this article or add new information about this topic:
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