加拿大监管机构禁止Lorne Stuart Allison因挪用退休人员资金而持有证券。 Canadian regulator bans Lorne Stuart Allison from securities for diverting retirees' funds.

加拿大投资监管机构CIRO已禁止B.C.。 Canadian investment regulator CIRO has banned B.C. 共同基金经销商Lorne Stuart Allison在从退休人员账户挪用数百万美元后,从证券相关业务中转出。 mutual fund dealer Lorne Stuart Allison from securities-related business after he diverted millions from retirees' accounts. Allison在皇家相互基金公司注册,推荐客户在别处开设非相互基金交易经纪账户,为3个客户投资275万美元。 Allison, registered at Royal Mutual Funds Inc., recommended clients open brokerage accounts elsewhere for non-mutual fund trades, investing $2.75 million for three clients. 1个客户损失了7 623美元。 One client lost $7,623. CIRO对Allison罚款50 000美元,命令他退还19 846美元的费用,并支付10 000美元的听力费。 CIRO fined Allison $50,000, ordered him to return $19,846 in fees, and pay $10,000 in hearing costs.