Regulator orders $30,000 fine, costs and disgorgement in suitability case

Former representative maintains that sanctions were unwarranted for her actions.

INVESTMENT | October 30 2023 10:25AM
Enforcement year in review unveiled by new regulator

Names and sanctions re-published in annual consolidated report.

INVESTMENT | October 26 2023 09:58AM
Tribunal sets aside regulator’s decision and reduces disgorgement order

Finds that a permanent ban from registration was not harsh or excessive.

INVESTMENT | October 17 2023 03:50PM
Insurance CEOs discuss outlook at recent financial summit

Distribution, acquistions and excess capital deployment all top of mind for executives.

SOCIETY | September 27 2023 10:58AM
Discretionary trading lands investment representative $15,000 fine

Regulator says use of unapproved sales materials contrary to rules.

INVESTMENT | August 17 2023 10:26AM
Outside activities, accepting monies from issuer leads to $20,000 fine

Regulator also orders commission disgorgement of $35,500.

INVESTMENT | August 11 2023 10:09AM
Serving clients without regulatory approval or adequate controls costs firm $100,000

Red Cloud Securities also ordered to disgorge more than $611,306 in commissions.

LIFE INSURANCE | July 25 2023 03:35PM