Montréal – The Autorité des marchés financiers (AMF) has launched a penal proceeding against Marie-Thérèse Harton in the Court of Québec (Criminal and Penal Division), district of Québec City, and is seeking fines totalling $12,000.
The AMF filed 3 charges against Marie-Thérèse Harton for:
- carrying on business as a securities dealer without being registered as such with the AMF, by soliciting investors with respect to the distribution of a security governed by the Securities Act (the "Act"), namely, debt securities secured by immovable hypothec, thereby violating sections 148 and 202 of the Act.
The AMF is seeking fines that are double the minimum penalty set out in the Act, namely, $4,000 for each offence, for general deterrence purposes and exemplary reasons.
The Autorité des marchés financiers (AMF) is the regulatory and oversight body for Québec’s financial sector.
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Sylvain Théberge: (514) 940-2176
Québec City: 418-525-0337