He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

A hearing panel found she made five major contraventions to MFDA rules involving clients.

Seven investors lose more than $700,000 .

Advisor pays $15,000 in fines.

MFDA fines advisor $30,000 after switching client to deferred sales charge.

Failure to comply with earlier compliance orders leads to further sanctions.

Self-regulatory organization publishes past statistics and priorities for the coming year.