Altered forms also discovered during 2020 branch audit.

The report details the rate at which firms offer client compensation below Ombudsman’s recommendations.

Unsuitable strategies, outside business activities and misappropriation among hearing panel’s findings.

Pre-signed and altered account forms also discovered during the course of firm’s investigation.

In a wide-ranging interview covering topics from the gamification of trading to advisor proficiency, Paul Bourque, outgo…

Representative sanctioned for reusing signature pages and for altering client forms without obtaining client initials.

Forms signed in 2017 discovered in 2021 file review.