Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $1,000,000; Costs $103,522.14; Permanent Bar
Relevant documents:
Notices about this proceeding:
04/30/21
IIROC Begins Disciplinary Action Against Former Newfoundland and Labrador Investment Advisor Joan McCarthy Type: Registration Review Hearing
Subtype: Hearing
07/29/21
IIROC to Hold Disciplinary Hearing for Former Newfoundland and Labrador Investment Advisor Joan McCarthy Type: Enforcement Notice
Subtype: Hearing
11/04/21
IIROC Hearing Panel Finds Former Newfoundland and Labrador Investment Advisor Joan McCarthy Liable Type: Enforcement Notice
Subtype: Decision
01/06/22
IIROC Sanctions Former Newfoundland and Labrador Investment Advisor Joan McCarthy Type: Enforcement Notice
Subtype: Decision