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Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Regulators said Robert Barber, senior investment advisor for Research Capital, failed his 'gatekeeping' duties when he conducted trades for a man criminally convicted of fraud ....

British Columbia , Tiffany Sweeney , Denise Trainor , Geoffrey Whitlam , Aly Babu Mawji , Preveceutical Medical Inc , Point Exploration Corp , Beira Goldfields Inc , A Canadian Investment Regulatory Organization , Investment Industry Regulatory Organization Of Canada , Robert Barber Of Research Capital , Mutual Fund Dealers Association , Beleave Inc , Ontario Securities Commission , Mark Financial Corp , Abattis Bioceuticals Corp , Bc Securities Commission , Mackie Research , Management Inc , Canadian Securities Institute , Affinor Growers Inc , Research Capital , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Regulators said Robert Barber, senior investment advisor for Research Capital, failed his 'gatekeeping' duties when he conducted trades for a man criminally convicted of fraud ....

British Columbia , Tiffany Sweeney , Geoffrey Whitlam , Aly Babu Mawji , Denise Trainor , Ontario Securities Commission , Robert Barber Of Research Capital , Investment Industry Regulatory Organization Of Canada , Beleave Inc , Abattis Bioceuticals Corp , Point Exploration Corp , Mark Financial Corp , Research Capital , Beira Goldfields Inc , Mackie Research , Bc Securities Commission , Management Inc , Mutual Fund Dealers Association , Preveceutical Medical Inc , Affinor Growers Inc , Canadian Securities Institute , A Canadian Investment Regulatory Organization , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict
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British Columbia , Denise Trainor , Geoffrey Whitlam , Aly Babu Mawji , Tiffany Sweeney , Point Exploration Corp , Canadian Securities Institute , A Canadian Investment Regulatory Organization , Mackie Research , Investment Industry Regulatory Organization Of Canada , Research Capital , Ontario Securities Commission , Bc Securities Commission , Beleave Inc , Management Inc , Robert Barber Of Research Capital , Mutual Fund Dealers Association , Mark Financial Corp , Beira Goldfields Inc , Affinor Growers Inc , Preveceutical Medical Inc , Abattis Bioceuticals Corp , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Regulators said Robert Barber, senior investment advisor for Research Capital, failed his 'gatekeeping' duties when he conducted trades for a man criminally convicted of fraud ....

British Columbia , Geoffrey Whitlam , Aly Babu Mawji , Tiffany Sweeney , Denise Trainor , Mackie Research , Robert Barber Of Research Capital , Beira Goldfields Inc , Research Capital , Canadian Securities Institute , Affinor Growers Inc , Beleave Inc , Abattis Bioceuticals Corp , Mark Financial Corp , Mutual Fund Dealers Association , Ontario Securities Commission , A Canadian Investment Regulatory Organization , Investment Industry Regulatory Organization Of Canada , Point Exploration Corp , Management Inc , Preveceutical Medical Inc , Bc Securities Commission , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,

Vancouver stockbroker fined $25K after trading millions of dollars for fraud convict

Regulators said Robert Barber, senior investment advisor for Research Capital, failed his 'gatekeeping' duties when he conducted trades for a man criminally convicted of fraud ....

British Columbia , Geoffrey Whitlam , Denise Trainor , Tiffany Sweeney , Aly Babu Mawji , Mackie Research , Management Inc , Affinor Growers Inc , Bc Securities Commission , Ontario Securities Commission , A Canadian Investment Regulatory Organization , Beira Goldfields Inc , Abattis Bioceuticals Corp , Investment Industry Regulatory Organization Of Canada , Mark Financial Corp , Canadian Securities Institute , Point Exploration Corp , Beleave Inc , Preveceutical Medical Inc , Robert Barber Of Research Capital , Research Capital , Mutual Fund Dealers Association , Canadian Investment Regulatory Organization , Robert Barber , Canadian Securities , Northwest Marketing ,