Defendant Name:
Cormark Securities Inc.
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of Cormark Securities Inc.
First Document Date
21-Dec-2020
Initial Filing Format
Administrative Action
File Number
3-20181
Allegation Type
Broker Dealer
Violations Alleged
Related Violations Alleged
Cormark Securities Inc. is alleged to have caused an unidentified individual or entity's violation of Rules 200(g), 203(b)(1) Regulation SHO.
Resolutions
First Resolution Date
21-Dec-2020
Headline Total Penalty and Disgorgement
$800,000