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Post# of 346919
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236T568

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Re: scion post# 345081

Friday, 01/16/2015 1:58:40 PM

Friday, January 16, 2015 1:58:40 PM

Post# of 346919
Who was the "individual"?



From April to September 2009, Mr. Steer acted contrary to IIROC Dealer Member Rule 29.1 by effecting transactions in his clients' accounts based on instructions that he accepted from an individual who was not authorized to give instructions on the account.

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