A former adviser at RBC Dominion Securities Inc. and Scotia Capital Inc. is alleged to have “impersonated his clients” at a firm he started after settling disciplinary actions in connection with his work at the two major banks.

The Ontario Securities Commission says Mark Steven Rotstein and his new firm Equilibrium Partners Inc. (EQ) obtained personal and corporate information from clients, including their passwords, and then communicated with market participants in order to execute buy and sell orders for clients

Read full article here.

BARBARA SHECTER – Financial Post – March 01, 2016.

Want More Investigative Content?

LEAVE A REPLY

Please enter your comment!
Please enter your name here