Rep suspended after 134 altered forms discovered

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

INVESTMENT | September 06 2022 09:36AM
Regulator imposes sanctions for pre-signed and altered forms

The Mutual Fund Dealers Association of Canada has announced two separate settlement agreements involving pre-signed form…

LIFE INSURANCE | December 20 2021 09:00AM
Regulator fines agents for pre-signed and altered forms

One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…

INVESTMENT | October 25 2021 09:45AM
Regulator imposes $30k fine for pre-signed forms

A representative admits he obtained, possessed and in some instances used to process transactions, 80 per-signed account…

INVESTMENT | September 15 2021 03:40PM
Advisor suspended and fined for altering forms

No evidence advisor received any financial benefit.

INVESTMENT | August 24 2021 01:00PM
iA merges FundEX and Investia under one brand

FundEX Investments Inc. and Investia Financial Services Inc. merged effective July 1.

INVESTMENT | July 06 2021 10:27AM
Advisor fined after altering client forms

The MFDA has fined an Ontario advisor $13,500.

INVESTMENT | February 10 2021 12:30PM