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IIROC fines and suspends portfolio manager for falsifying client records

By The IJ Staff | October 15 2020 01:30PM
Flash | ECHELON | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Investment | Disciplinary Decisions 
An Investment Industry Regulatory Organization of Canada hearing panel has fined and suspended an advisor for improperly altering previously signed client documents.

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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
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Disciplinary Decisions