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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
Investors Group rep sanctioned for posting confidential client information to WeChat

Used vulnerable client’s investment statement as marketing collateral on social media platform.

INVESTMENT | June 23 2022 10:40AM
Advisor sanctioned for abusing power of attorney

He was fined $140,000 and banned permanently.

INVESTMENT | October 06 2021 04:30PM
Regulator fines former mutual fund rep $40K for misappropriating funds

He was also permanently banned from being registered as a mutual fund salesperson.

INVESTMENT | September 21 2021 05:30PM
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Regulator sanctions advisor for inappropriate deferred sales charge fund sale

The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha…

INVESTMENT | July 15 2021 11:46AM
Financial advisor banned after personal dealings with client

The Mutual Fund Dealers Association of Canada banned an advisor who cashed in his father’s money.

INVESTMENT | June 07 2021 02:00PM