The Finkelstein Affair: the Five Co-Accused are Given Hefty Fines
This article first appeared in French on the blog of Conseiller.ca on October 28, 2015.
This past May 20, I drew attention to the decision of the Ontario Securities Commission (OSC) in the Finkelstein case. To recap four investment advisors and a lawyer were found guilty of breaching Ontario’s Securities Act by engaging in illegal insider trading and disseminating privileged information regarding three reporting issuers.