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Forms altered in 2015 lead to sanctions in 2023

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By Kate McCaffery | April 12, 2023, 5:03 p.m.

Flash | INVESTIA | Disciplinary Decisions

Representative ordered to pay $27,500.

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Pre-signed and altered forms cost representative $25,000

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INVESTIA

Pre-signed and altered forms cost representative $25,000

Significant and permanent sanctions follow after clients name advisor in their wills

Regulator continues to mete out sanctions for improperly altered and pre-signed forms

Dealing representative sanctioned for keeping pre-signed forms

Disciplinary Decisions

Suspended firm’s ultimate designated person fined for failing to promote compliance

Failing to cooperate with regulator results in permanent ban

Relatively new agent avoids client, receives $1,500 fine

Insurance council orders close supervision after agent reported by company