The Investment Industry Regulatory Organization of Canada’s (IIROC) biggest financial penalty levied against a British Columbian in 2015 was the $195,000 charged to former Vancouver-based Manulife adviser Robert Lewis in November for a series of infractions.
That penalty included a $175,000 fine plus $20,000 in costs, although, as of March 4, Lewis had not paid.
GLEN KORSTROM – Business in Vancouver – April 11, 2016.
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