He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.
The Mutual Fund Dealers Association of Canada has announced two separate settlement agreements involving pre-signed form…
One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…
A representative admits he obtained, possessed and in some instances used to process transactions, 80 per-signed account…
No evidence advisor received any financial benefit.
FundEX Investments Inc. and Investia Financial Services Inc. merged effective July 1.
The MFDA has fined an Ontario advisor $13,500.