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Using pre-signed forms results in $14K fine for advisor

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By Al Emid | Aug. 17, 2020, 2 p.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Investment | Disciplinary Decisions 
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The MFDA has fined an advisor $14,000 plus costs after he admitted he altered and used account forms without having clients initial the alterations, and also used pre-signed forms.

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MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
Investment
Disciplinary Decisions