Company also fines portfolio manager for insubordination.

Halifax rep sanctioned for not obtaining client authorization for changes.

Regulator also levies heavy sanctions after dealing representative fails to cooperate.

Assessed costs in the amount of $30,000 after repeatedly delaying investigation and hearing.

Outside business activities put former approved person’s interests ahead of clients’ interests.

Regulator enters settlement agreement fining representative who resigned in 2022.

Advisor fined $80,000 by regulator.