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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
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Regulator imposes sanctions for pre-signed and altered forms

The Mutual Fund Dealers Association of Canada has announced two separate settlement agreements involving pre-signed form…

LIFE INSURANCE | December 20 2021 09:00AM
Photocopied signatures and pre-signed forms result in sanction

The MFDA fined an Ontario-based rep $27,000 plus costs.

INVESTMENT | December 10 2021 03:30PM