Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $16,770.65; Disgorgement $13,229.35; Costs $5,000; Permanent Ban
Relevant documents:
Notices about this proceeding:
09/28/21
IIROC Begins Disciplinary Action Against Former Toronto Investment Advisor Howard Tsao Type: Enforcement Notice
Subtype: Hearing
01/25/22
IIROC to Hold Disciplinary Hearing for Howard Tsao Type: Enforcement Notice
Subtype: Hearing
03/23/22
IIROC to Hold a Settlement Hearing for Howard Tsao Type: Enforcement Notice
Subtype: Hearing
04/01/22
IIROC Sanctions Former Toronto Investment Advisor Howard Tsao Type: Enforcement Notice
Subtype: Decision