OSC lays charges in trading scandal

Article Abstract:

Former executive of RBC Dominion Securities Inc., Andrew Rankin is facing 10 charges related to leaking information on company's development contracts to childhood friend, Daniel Duic. The Ontario Securities Commission (OSC) has accused Mr. Duic of tallying illegal gains of $1.9 million, including $6,00,000 in unrealized gains, by investing in companies ahead of takeover news.

Ontario, Securities & Commodities Services, Securities, Commodity Contracts, and Other Financial Investments and Related Activities, Powers and duties, RBC Dominion Securities Ltd.

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Duthie gets 20-year trading ban

Article Abstract:

Stephen Duthie, a former fixed-income trader at Toronto, Ont.-based Phoenix Research and Trading Co., has been given a 20-year trading ban for improperly accumulating $3.3 billion in U.S. Treasury notes. Mr. Duthie had been charged with the securities violations by the Ontario Securities Commission.

Executive changes & profiles, Officials and employees, Hedge funds, Phoenix Research and Trading Corp., Duthie, Stephen

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Man mired in OSC probe can't recoup fees: judge

Article Abstract:

John Fraleigh will not recoup legal fees in his case against the Ontario Securities Commission.

Securities Brokerage, Stockbrokers, Fraleigh, John

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