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

Regulator fines dealing representative $28,000, reserves decision on costs.

INVESTMENT | February 23 2024 10:36AM
Representative terminated, fined $70,000 for being named in a client’s will

Accepting an appointment as power of attorney also contravened rules.

INVESTMENT | January 31 2024 09:52AM
Regulator sanctions veteran dealing representative for seven pre-signed forms

Firm’s file review also uncovers 16 altered forms without initials.

INVESTMENT | January 24 2024 09:59AM
Representative switching firms fined $20,000 for 47 pre-signed forms

Incomplete representative change forms sent to clients for signatures.

INVESTMENT | January 15 2024 04:37PM
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