Former rep fined heavily and banned for two years

By Kate McCaffery | Oct. 7, 2021, 3 p.m.

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

An IIROC hearing panel found him liable for failing to know his client, and for excessive trading that was outside the bounds of good business practice.

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Former rep fined heavily and banned for two years

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Former rep fined heavily and banned for two years

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