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.

In addition to the fine, the rep was also permanently barred for misappropriating client funds.

Advisor admitted to borrowing money from client against MFDA rules.