British Columbia joins other jurisdictions in banning W.H. Stuart principal

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

INVESTMENT | April 14 2023 10:17AM
Failure to cooperate with regulator ends in permanent ban and $40,000 penalty

Terminated and retired representative sanctioned for not participating in investigation.

INVESTMENT | April 12 2023 10:42AM
Regulator revokes agent and corporate insurance licenses for unsuitable conduct

Announcement states there are reasons to believe agent won’t conduct business lawfully.

LIFE INSURANCE | April 05 2023 04:14PM
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