Company tag
INVESTIA
Articles
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