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Regulator fines agents for pre-signed and altered forms

One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…

INVESTMENT | October 25 2021 09:45AM
Securities commission adds monetary penalty to MFDA decision

In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C…

INVESTMENT | October 13 2021 01:50PM
Regulator publishes reasons for banning advisor for two years

He was also fined $17,500 and costs totalling $2,500.

INVESTMENT | October 12 2021 03:20PM
Signature forgery results in one year suspension for former rep

He admitted that he signed the signature of eight clients on eight account forms and submitted them for processing.

INVESTMENT | October 12 2021 10:03AM
Regulator metes out series of sanctions for pre-signed account forms

Four of the reps being disciplined come from the same firm.

INVESTMENT | October 08 2021 03:55PM
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B.C. advisor permanently banned after setting up outside business

She was also fined $125,000.

INVESTMENT | October 08 2021 08:30AM
Advisor sanctioned for abusing power of attorney

He was fined $140,000 and banned permanently.

INVESTMENT | October 06 2021 04:30PM