Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $20,000; Costs $2,500; Conditions
Relevant documents:
Notices about this proceeding:
09/14/21
IIROC to Hold a Settlement Hearing for former Montréal Investment Advisor Michael Small Type: Enforcement Notice
Subtype: Hearing
10/21/21
IIROC Sanctions former Montréal Investment Advisor Michael Small Type: Enforcement Notice
Subtype: Decision