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

No evidence of client complaint, loss, or lack of authorization identified, says regulator.

INVESTMENT | November 10 2023 03:58PM
Significant and permanent sanctions follow after clients name advisor in their wills

Dealing representative banned permanently for failing to renounce legacies quickly enough.

INVESTMENT | November 09 2023 10:24AM
Regulator continues to mete out sanctions for improperly altered and pre-signed forms

Failing to obtain client initials to form alterations a costly mistake for two more representatives.

INVESTMENT | July 20 2023 04:00PM
Forms altered in 2015 lead to sanctions in 2023

Representative ordered to pay $27,500.

INVESTMENT | April 12 2023 05:03PM
Dealing representative sanctioned for keeping pre-signed forms

Two forms and 30 altered forms, some dating back to 2016, costs rep $24,500.

SOCIETY | February 08 2023 03:00PM
iA Financial appoints new wealth management executive

Tasked with growth mandate, new executive vice president will oversee four businesses.

LIFE INSURANCE | January 25 2023 02:52PM
Bulk trading strategy ends in two-year ban

Experienced dealing representative fined $50,000 for trades made to maintain model portfolios.

INVESTMENT | November 18 2022 10:30AM