One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo
In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C
He was also fined $17,500 and costs totalling $2,500.
He admitted that he signed the signature of eight clients on eight account forms and submitted them for processing.
Four of the reps being disciplined come from the same firm.
She was also fined $125,000.
He was fined $140,000 and banned permanently.