Dealing representative fined for unauthorized redemption

Facilitated trade that allowed client’s spouse to abscond with $10,000.

INVESTMENT | April 04 2023 10:52AM
Hearing panel accepts settlement with GP Wealth Management Corp.

Firm sanctioned for failing to detect uniformity in information recorded by terminated advisor.

INVESTMENT | April 03 2023 10:41AM
Regulator publishes compliance report for dealers

Summary includes current issues and compliance challenges regulated dealers should focus on.

INVESTMENT | March 22 2023 04:31PM
Insurance council bans rep for five years for borrowing money from clients

Mutual fund regulator’s case is ongoing.

LIFE INSURANCE | March 09 2023 04:28PM
New representative sanctioned for unauthorized purchase and false notes

Limited experience and early admission taken into consideration by hearing panel.

INVESTMENT | March 08 2023 05:02PM
Tribunal orders $500,000 fine and $85,000 in costs for undisclosed conflict of interest

Mutual fund sales representative named the sole beneficiary of a vulnerable client’s estate.

INVESTMENT | March 07 2023 10:50AM
Small mutual fund dealer fined for compliance failings

Company allowed the sale of exempt products without conducting adequate due diligence.

INVESTMENT | March 01 2023 04:12PM