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
Pre-signed forms result in nine-month ban and $5,000 fine

Altered forms also discovered during 2020 branch audit.

INVESTMENT | November 18 2022 10:28AM
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 pays $24,500 in sanctions for keeping pre-signed forms

Forms signed in 2017 discovered in 2021 file review.

INVESTMENT | October 31 2022 10:30AM
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