An MFDA panel has levied a fine of $50,000 against an advisor who engaged in personal financial dealings with a client.

In two separate cases, the Mutual Fund Dealers Association of Canada has fined advisors who altered account forms withou…

An MFDA hearing panel has fined a mutual fund representative after he admitted making changes to client forms without ge…

The MFDA has banned a former representative for five years and imposed a fine of $15,000 plus costs.

An advisor was fined $16,000 plus a specialty penalty after changing pre-signed account firms.

Both MFDA and IIROC make allegations against advisor.

Fund company ordered to pay fine for failing to maintain capital level.