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Dealing representative banned five years for outside activities

By Kate McCaffery | Nov. 9, 2023, 4:28 p.m.

Regulator says there is no evidence of financial loss by clients or any other individuals.

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Pre-signed and altered forms cost representative $25,000

Firm fined $175,000 plus costs

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Pre-signed and altered forms cost representative $25,000

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Pre-signed forms costs firm’s chief executive officer $25,000

Firm fined $175,000 plus costs

Dealing representative banned five years for outside activities

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