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.

Canada, Crimes against, Teggart, Patrick, Thomson Kernaghan Company Ltd.

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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.

Salomon Smith Barney Holdings Inc., MER, Credit Suisse First Boston L.L.C., Merrill Lynch & Company Inc.

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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.

HSBC Securities Inc. (Canada)

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