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Disciplinary Decisions

Stay up to date on disciplinary decisions!

Artificial intelligence can help insurers’ streamline claims processing
Inactive agent with an active license fined for not maintaining liability insurance
Supervisors fined when licensee leaves client uninsured for months
Agent who defrauded retired couple banned from securities registration
Agency fined $20,000 for repeatedly allowing unlicensed activity
Mutual fund rep fined close to $1.7-million
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Missing continuing education, lapsed liability insurance nets $4,000 fine
Firm fined $1.5 million for failing to supervise trading activity
Repeat offender thrown out of the industry permanently
Agent’s license suspended for failing to respond to audit
Rep fined for selling personal cryptocurrency assets to clients
Manitoba agent sanctioned for ignoring client concerns, leading to policy cancellation
Representative sanctioned for removing client from policy without authorization
Using friend’s credit card to pay client’s premium backfires
Failing to inform regulator about sanctions attracts additional sanctions
Rep ordered to complete remedial education due to inadequate record-keeping
Rep fined for out of province trading, pre-signed forms and form alterations
Regulator imposes $776,100 fine plus costs for borrowing money from clients
Misleading insurance council results in small fine
Firm ordered to establish compensation fund for eligible clients who suffered losses
Lying to regulator about firm’s ownership and control ends in sanctions
Representative fined $125,000 and banned for accepting power of attorney
Agent suspended eight years for misappropriating $450,000
Regulator continues to hand out pre-signed form sanctions
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General insurance salesperson banned three years after using client’s credit card
Regulator issues another sanction for pre-signed forms
Rep reprimanded by regulator and charged $200,000 by firm
Global penalty and disgorgement ordered in discretionary trading case
Operating advice website under a pseudonym an outside business activity
Compensating clients directly leads to termination, suspension and fine
List of transgressions attracts $25,000 fine
More than five years of improperly altered client forms results in sanction
Agent fined for missing continuing education while license was inactive
Saskatchewan licensee receives small fine for failing to maintain liability insurance
Lax note-keeping and pre-signed forms results in $26,000 fine
Regulator sanctions agents who failed to respond to demand for information
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