INVESTIA

More than five years of improperly altered client forms results in sanction

February 23, 2024

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

January 31, 2024

Regulator sanctions veteran dealing representative for seven pre-signed forms

January 24, 2024

Representative switching firms fined $20,000 for 47 pre-signed forms

January 15, 2024

Pre-signed and altered forms cost representative $25,000

November 10, 2023

Significant and permanent sanctions follow after clients name advisor in their wills

November 9, 2023

Regulator continues to mete out sanctions for improperly altered and pre-signed forms

July 20, 2023

Forms altered in 2015 lead to sanctions in 2023

April 12, 2023