Sign in
FREE Membership Sign in
MENU

IIROC fines advisor $12,500 for recommending unsuitable trades

By The IJ Staff | August 24 2020 01:27PM
Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions 
National Bank advisor, Emmanuel Martel, fined after recommending an unsuitable, uncovered put strategy to two clients who ultimately lost more than US$259,395.

This article is reserved to PRO Level subscribers

PRO Level’s multiple privileges

For only $9.95/month

  • Checkmark Access to Flash news including: scoops, people on the move, disciplinary decisions, magazine supplements, exclusive reports and financial tables.
  • Checkmark Insurance Journal and its original content in paper and digital versions.
  • Checkmark Substantial discounts on all of our other products and services, including our annual events.
  • Checkmark PRO Level access on Portail-assurance.ca which offers you the same privileges as mentioned above, but in French for the Quebec market.
Advertisement
The most popular in Investment
Mutual fund and ETF sales decline in September
New CEO at Laurentian Bank
ASC partially overturns IIROC decision and reduces penalty
Headlines
Mutual fund and ETF sales decline in September
FP Canada honours Larry A. Wood with lifetime achievement award
A digital tool specialist goes global at Equisoft
Advertisement
Related topics …
Flash
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Disciplinary Decisions