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IIROC Dealer Member Rules Violated: The violations cited in the case are likely related to specific MFDA Rules and By-laws, such as Rule 1.1.1(c) (dealing fairly, honestly, and in good faith with clients), Rule 2.1.1 (failure to perform due diligence, deal fairly with clients, and observe high standards of ethics and conduct), Rule 2.2.1 (suitability of investments), Rule 2.5.3(b) (adequate supervision of branch operations), and MFDA Policy No. 2 (compliance with applicable securities legislation and regulations). These rules are designed to ensure that registered individuals and firms maintain integrity, act in the best interests of clients, conduct proper due diligence, supervise business activities effectively, and comply with regulatory requirements to protect investors' interests.

2. Agarwal, Satya

Violation Summary: Satya Prakash Agarwal was found to have committed several violations, including: