Those with advisors are notably more confident than those without.

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

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

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

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

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…