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Profitable but unsuitable recommendations results in sanctions

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By Kate McCaffery | Sept. 25, 2023, 10:39 a.m.
Flash | NATIONAL BANK | CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO) | Disciplinary Decisions 
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Client makes unsolicited pandemic withdrawal, advisor fined for suitability concerns.

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NATIONAL BANK
CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)
Disciplinary Decisions