Repeat offender thrown out of the industry permanently

Latest sanction the result of misleading regulators about firm’s ownership and control.

INVESTMENT | April 09 2024 09:56AM
Firms, associations and reps weigh in on advisor compensation

Regulator analyzes feedback to policy options proposed in January.

INVESTMENT | April 02 2024 10:46AM
Representative fined $125,000 and banned for accepting power of attorney

Also sanctioned for borrowing $30,000 from another client and for misleading firms.

INVESTMENT | March 11 2024 03:00PM
Representative switching firms fined $20,000 for 47 pre-signed forms

Incomplete representative change forms sent to clients for signatures.

INVESTMENT | January 15 2024 04:37PM
Assistant terminated and sanctioned for two years over pre-signed forms

Four sanctioned in total after principal approved person reports his licensed assistant.

INVESTMENT | December 13 2023 04:29PM
Representative convicted for theft from a client banned from the securities business

Regulator stops short of imposing monetary penalty, saying conviction is sufficient for general deterrence.

INVESTMENT | December 05 2023 10:19AM
Enforcement year in review unveiled by new regulator

Names and sanctions re-published in annual consolidated report.

INVESTMENT | October 26 2023 09:58AM