Financial confidence holds but Canadians are pessimistic

Those with advisors are notably more confident than those without.

SOCIETY | November 29 2023 09:52AM
Failure to follow policies and procedures lands advisor in hot water

Regulator penalizes representative with $40,000 in fines for know-your-client failures.

INVESTMENT | August 15 2023 03:46PM
British Columbia joins other jurisdictions in banning W.H. Stuart principal

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

INVESTMENT | April 14 2023 10:17AM
Misappropriation results in permanent ban, $315,000 fine and costs

Mutual fund representative also ignored regulator’s investigation into his conduct.

INVESTMENT | December 16 2022 10:40AM
Advisor fined $525,000

A hearing panel found she made five major contraventions to MFDA rules involving clients.

INVESTMENT | August 25 2022 09:55AM
Advisor reaps commission from elderly client

MFDA fines advisor $30,000 after switching client to deferred sales charge.

INVESTMENT | August 02 2022 10:18AM
Outside activities ends in $525,000 fine, permanent ban

She entered into various joint venture agreements with clients and other investors for the purchase and operation of ren…

INVESTMENT | July 11 2022 04:17PM