FREE Membership Sign in

JavaScript is disabled in your browser.

In order visualise this page, please follow these steps.

Former rep fined $25,000

Visibility360, PDF version to share

By The IJ Staff | Nov. 21, 2019, 9:52 a.m.

A former registered representative has paid a $25,000 fine as part of a settlement agreement with the Alberta Securities Commission. She admitted to providing advice and selling securities after her registration was terminated.

This article is reserved to PRO Level subscribers

Discover the PRO Level

The most popular in Investment

Sanctions for pre-signed forms levied against former Fredericton rep

Firms, associations and reps weigh in on advisor compensation

Rep fined for out of province trading, pre-signed forms and form alterations

Make your business shine with Visibility360!

Get a PDF version to share in your networks.

I'm interested

Headlines

Quebec flood zone map raises concerns even before its release

Tips for increasing your firm’s value

Agent who defrauded retired couple banned from securities registration

Related topics …

Flash

Quebec flood zone map raises concerns even before its release

Tips for increasing your firm’s value

Ontario regulator publishes guidance for comment

Insurers pushing their limits in accelerated underwriting

Investments

Insurers express increased appetite for private market investments

Registered retirement savings plan contributions resume downward trend

Life insurance associations urge government to make tax changes

Seg fund deferred sales charge rules officially take effect February 14

Life Insurance

Insurers likely to benefit from adding obesity drugs to benefits coverage

Life insurance application activity picks up in March

Drug plan sponsors encouraged to set up usage guardrails for new therapies

Whole life sales drove growth in the life insurance market in 2023

Investment

Pension funding rises in March

iA Financial acquires Laurentian Bank’s full-service brokerage division

Pension risk transfer market volumes in 2023 match record

Defined benefit pension funding increases in the first quarter of 2024

Disciplinary Decisions

Agent who defrauded retired couple banned from securities registration

Agency fined $20,000 for repeatedly allowing unlicensed activity

Mutual fund rep fined close to $1.7-million

Missing continuing education, lapsed liability insurance nets $4,000 fine