Advisor fined $13,500 for altering forms.
He recommended that 25 clients concentrate their holdings in precious metals sector mutual funds.
Several registrants have received e-mails that purport to come from Canadian Securities Administrators staff.
Advisors will be required to collect the name and contact information of a trusted contact person (TCP) from vulnerable
The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha
The former rep and bank employee admitted to opening fictitious bank and mutual fund accounts to receive promotional mon
Borrowing from friends and an undisclosed consumer proposal led to the ban.