The accused pleaded guilty to engaging in securities trading without being registered in violation of the Ontario Securities Act.
She was a hospital file clerk who provided names of new mothers to an investment company representative in exchange for payment, facilitating high-pressure sales tactics targeting vulnerable new parents.
The court imposed a $36,000 fine (plus 25% surcharge totalling $45,000), two years probation, and 300 hours community service, rejecting both the Crown's request for 90 days jail and the defence's request for a $20,000 fine.
The sentence balanced general deterrence principles with the accused's mitigating factors including remorse, guilty plea, no prior record, and rehabilitative efforts.