He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

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

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

One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…

Four of the reps being disciplined come from the same firm.

FundEX Investments Inc. and Investia Financial Services Inc. merged effective July 1.

MFDA penalty used as deterrent against using pre-signed and altered forms.