Compensating clients directly leads to termination, suspension and fine

Failing to report client complaints, misleading firm results in six-month ban and $20,000 fine.

INVESTMENT | February 27 2024 09:59AM
List of transgressions attracts $25,000 fine

Representative attempts to pay off client following complaint.

INVESTMENT | February 26 2024 10:10AM
Regulator sanctions agent twice for same infractions

Representative thrown out of the industry for falsifying client signatures.

INVESTMENT | January 11 2024 04:56PM
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