Subscribe to newsletters Sign in

MFDA approves settlement, permanently bans retired FundEX advisor

By The IJ Staff | September 26 2019 01:15PM

The Mutual Fund Dealers Association (MFDA) announced that it has approved a settlement agreement between MFDA staff and a 27-year industry veteran.

This article is for PROs exclusively

Read the whole article….

PRO

$9.95 / month

Invest in your career and go PRO now!:

Each of its 6 annual issues offers you:

Receive the Insurance Journal at your office or home:

The most popular in Investment

MFDA panel confirms $25,000 fine for B.C. advisor

Mastering the top four financial stressors

WisdomTree to sell Canadian subsidiary

Headlines

MFDA panel confirms $25,000 fine for B.C. advisor

Mastering the top four financial stressors

Motorists warned to lock up valuables this holiday season

Related to the same topic …

Investment

Desjardins Investments announces fund lineup changes

Horizons ETFs completes reorganization of TRI ETFs

SLGI to change offering of Series O securities

Disciplinary

MFDA panel confirms $25,000 fine for B.C. advisor

MFDA bans, fines former advisor $100K

Springwater advisor found guilty of tax fraud

Flash

Canada Protection Plan opens first Quebec office

Ontario regulator bans Alberta advisor

Disciplinary Decisions

Former rep fined $25,000

Regulator fines, suspends husband and wife

MFDA fines, bans rep for failing to cooperate

MFDA bans, fines former fund rep $150K