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Halifax investment advisor fined $90,000

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By The IJ Staff | Sept. 21, 2020, 2:08 p.m.
Flash | NATIONAL BANK | INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) | IA FINANCIAL GROUP | Disciplinary Decisions 
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The Investment Industry Regulatory Organization of Canada has fined and sanctioned a Halifax-based advisor who failed to ensure that trades were suitable for several clients.

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Flash
NATIONAL BANK
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
IA FINANCIAL GROUP
Disciplinary Decisions