Fine and permanent ban ordered for representative who borrowed money

Vulnerable client loses $138,509 over more than three years.

INVESTMENT | January 29 2024 04:02PM
Coaching clients to lie results in two-month suspension, $2,500 fine

Representative instructed client to say they lived in Ontario to circumvent registration rules.

INVESTMENT | January 04 2024 10:00AM
Funds advisor slapped with $25,000 fine for unbecoming business conduct

Consultant disallowed from acting as branch manager for two years, starting on July 26, 2023.

INVESTMENT | August 24 2023 09:28AM
Due diligence failures end in two-year ban and monetary sanctions

Strategy recommended in 2014 leaves vulnerable couple without life insurance.

LIFE INSURANCE | February 07 2023 10:52AM
Photocopying signatures constitutes falsification

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

INVESTMENT | November 03 2022 10:03AM
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Advisor banned for five years

He recommended that 25 clients concentrate their holdings in precious metals sector mutual funds.

INVESTMENT | July 21 2021 12:26PM
MFDA fines and bans former advisor

Among other allegations, the MFDA says she accepted a $5,000 check from a client to place in a pyramid scheme gifting pr…

INVESTMENT | May 13 2021 05:03PM