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Regulator levies massive fine in misappropriation case

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By Kate McCaffery | July 5, 2022, 3:10 p.m.
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | CANADIAN SECURITIES ADMINISTRATORS (CSA) | Regulation | Disciplinary Decisions 
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London, Ontario dealing representative failed to account for nearly $1.4-million before vanishing once his conduct was discovered.

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Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
CANADIAN SECURITIES ADMINISTRATORS (CSA)
Regulation
Disciplinary Decisions