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Branch manager fined for mismanaging his mother’s accounts

By The IJ Staff | September 15 2020 12:43PM

Flash | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | Disciplinary Decisions

A Calgary representative was fined $40,000 and suspended 60 days for investing his mother’s assets in high-risk strategies when she did not have the capacity to understand investment recommendations.

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