Scotia Securities Inc.

File Number
Date Commenced:
Date Concluded:
Status
Concluded
Key Allegations
Failure to Comply with Policies & Procedures
Outcome
Fine $275,000; Costs $10,000

Relevant documents:

Notices about this Proceeding:

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.