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Securities Regulation - INSIDER TRADING - Tipping

Thursday, December 22, 2016 @ 7:00 PM  

Appeals by Finkelstein, Azeff, Bobrow, Miller and Cheng from a decision by the Ontario Securities Commission. Finkelstein was a corporate lawyer with Davies Ward Phillips & Vineberg LLP (DWPV) and longstanding friend of his investment advisor, Azeff. Azeff and Bobrow were longtime friends who worked closely together as investment advisors for CIBC. Miller was an experienced investment advisor with TD who worked with Cheng. The OSC alleged that Finkelstein provided material non-public information to Azeff regarding three corporate transactions he worked on with DWPV as lead...