MENU
Representative sanctioned for paying clients for his errors

Pre-signed and altered account forms also discovered during the course of firm’s investigation.

INVESTMENT | November 07 2022 03:23PM
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
Stealth advising relationship ends in sanctions

A former rep has been fined and banned for a period of five years.

LIFE INSURANCE | February 22 2022 10:34AM
Regulator metes out series of sanctions for pre-signed account forms

Four of the reps being disciplined come from the same firm.

INVESTMENT | October 08 2021 03:55PM
IFSE launches alternative mutual fund and hedge fund bridge course

The course will provide new registrants with the foundations needed to understand and sell alternative mutual funds and …

INVESTMENT | February 01 2021 11:30AM
Advertisement
IFSE Institute introduces Career Pathways

IFSE Institute has announced the launch of Career Pathways, an interactive tool to help industry professionals explore v…

HEALTH | April 13 2018 09:45AM
Exchange-traded funds: advisors play key role in helping investors choose wisely

As more exchange-traded fund products come to market, both passive and active, Jeff Hull, senior financial advisor at Ma…

LIFE INSURANCE | December 05 2017 07:00AM