IIROC fines advisor $12,500 for recommending unsuitable trades

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By The IJ Staff | Aug. 24, 2020, 1:27 p.m.

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.

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