Representative terminated, fined $70,000 for being named in a client’s will

Accepting an appointment as power of attorney also contravened rules.

INVESTMENT | January 31 2024 09:52AM
Representative thrown out of the industry 10 years for outside activities

Referral arrangement also prohibited.

INVESTMENT | January 30 2024 10:37AM
Fine and permanent ban ordered for representative who borrowed money

Vulnerable client loses $138,509 over more than three years.

INVESTMENT | January 29 2024 04:02PM
Regulator proposes incorporation for approved persons

Three policy options proposed to align mutual fund and investment dealer rules.

INVESTMENT | January 26 2024 10:40AM
Regulator sanctions veteran dealing representative for seven pre-signed forms

Firm’s file review also uncovers 16 altered forms without initials.

INVESTMENT | January 24 2024 09:59AM
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Representative switching firms fined $20,000 for 47 pre-signed forms

Incomplete representative change forms sent to clients for signatures.

INVESTMENT | January 15 2024 04:37PM
Regulator sanctions agent twice for same infractions

Representative thrown out of the industry for falsifying client signatures.

INVESTMENT | January 11 2024 04:56PM