Sign in
Subscribe to newsletters Sign in
MENU

Advisor fined for borrowing funds from former client

By The IJ Staff | October 24 2019 11:04AM

Photo: Freepik

A regulator announced that it has sanctioned an advisor who admitted to engaging in personal financial dealings with a client he’d become close with.

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:

  • Exclusive headlines and daily scoops
  • Disciplinary decision news
  • On the move in the industry

Receive the Insurance Journal at your office or home:

  • 6 issues/year
  • In-depth articles and studies related to the insurance industry
  • Insighful data to feed your analysis and convince your clients
  • Exclusive interviews with industry leaders
Advertisement
The most popular in Investment
Regulator warns of high pressure sales tactics targeting seniors
Franklin Templeton to terminate fund
CDPQ appoints new leader for private equity activities
Headlines
CDPQ appoints new leader for private equity activities
AM Best affirms Economical’s ratings
Regulator warns of high pressure sales tactics targeting seniors
Advertisement
Related to the same topic …
Investment
Disciplinary
Flash
Disciplinary Decisions
Investments
Life Insurance
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)