MFDA fines advisor $30,000 after switching client to deferred sales charge.
She entered into various joint venture agreements with clients and other investors for the purchase and operation of ren
Used vulnerable client’s investment statement as marketing collateral on social media platform.
He was fined $140,000 and banned permanently.
He was also permanently banned from being registered as a mutual fund salesperson.
The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha
The Mutual Fund Dealers Association of Canada banned an advisor who cashed in his father’s money.