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Regulator levies fine of $125,000

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By Kate McCaffery | Nov. 3, 2023, 3:55 p.m.

Misappropriation, outside business activities also result in permanent ban from registration.

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Pre-signed and altered forms cost representative $25,000

Firm fined $175,000 plus costs

Private equity eyeing the insurance sector

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Pre-signed and altered forms cost representative $25,000

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Disciplinary Decisions

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Pre-signed forms costs firm’s chief executive officer $25,000

Firm fined $175,000 plus costs

Regulator levies fine of $125,000

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