advisor Archives - The Industry Spread

Majority of Canadian Investors Support Measures to Protect Vulnerable Investors, IIROC Survey Reveals

July 2, 2019

Canadians want regulatory rules, policies and procedures put in place to prevent financial exploitation June 21, 2019 (Toronto, Ontario) – The Investment Industry Regulatory Organization of Canada (IIROC) today released results of a new national IIROC survey showing an overwhelming majority of Canadian investors believe that protective measures should be put in place to ensure that investment firms and advisors can take action when they suspect investors have become vulnerable or that others might be attempting to financially exploit them.

NFA bars Rapid City, S.D. commodity trading advisor The Stock Mentor LLC and its principal Brian Kelly Johnson from membership

May 4, 2018

NFA has permanently barred Rapid City, S.D. commodity trading advisor The Stock Mentor LLC (Stock Mentor) and its principal and associated person, Brian Kelly Johnson, from membership and from acting as a principal …