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Former dealing representative fined $145,000

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By Kate McCaffery | Nov. 30, 2022, 10:18 a.m.

Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Disciplinary Decisions

Mislead his firm about the source of funds after depositing client’s bank draft into his own account.

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MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

Sanctioned registered rep has insurance license revoked

Failure to follow policies and procedures lands advisor in hot water

Representative pays $19,000 fine plus costs for photocopied signature pages

Members approve new regulator’s name

Disciplinary Decisions

Profitable but unsuitable recommendations results in sanctions

Client complaint about forged signature leads to trouble with regulator

Credit card fraud leads to three-year license suspension

Regulator revokes license for fraud, demonstrated untrustworthiness