Rep suspended after 134 altered forms discovered

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

INVESTMENT | September 06 2022 09:36AM
Advisor fined $525,000

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

INVESTMENT | August 25 2022 09:55AM
Mutual Fund Dealer member involved in outside sale of $700,000 in investments

Seven investors lose more than $700,000 .

INVESTMENT | August 19 2022 10:45AM
The Mutual Fund Dealers Association of Canada accepts agreement with advisor

Advisor pays $15,000 in fines.

INVESTMENT | August 12 2022 01:36PM
Advisor reaps commission from elderly client

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

INVESTMENT | August 02 2022 10:18AM
Richmond Hill firm fined $60,000

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

INVESTMENT | July 27 2022 10:40AM
Regulator’s enforcement activities increase in 2021

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

INVESTMENT | July 15 2022 08:54AM