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Former rep banned

By The IJ Staff | July 5, 2021, 10:30 a.m.

Borrowing from friends and an undisclosed consumer proposal led to the ban.

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Sanctions for pre-signed forms levied against former Fredericton rep

Pension funding rises in March

Insurers express increased appetite for private market investments

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Headlines

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STERLING MUTUALS

Regulator bans mutual fund rep, fines him $750,000 plus costs

Stealth advising relationship ends in sanctions

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MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

Repeat offender thrown out of the industry permanently

Firms, associations and reps weigh in on advisor compensation

Representative fined $125,000 and banned for accepting power of attorney

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Disciplinary Decisions

Inactive agent with an active license fined for not maintaining liability insurance

Supervisors fined when licensee leaves client uninsured for months

Agent who defrauded retired couple banned from securities registration

Agency fined $20,000 for repeatedly allowing unlicensed activity