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

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

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

Strategy recommended in 2014 leaves vulnerable couple without life insurance.

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

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

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