Insurer’s mutual fund dealer recruits former TD head.

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

Mutual Fund Dealers Association of Canada imposes sanctions in response to audit which also discovered pre-signed forms …

He allowed and helped an unregistered representative to transfer accounts and conduct business for four clients.

Tim Prescott's successor is about to wrap up the transfer of Excel Private Wealth clients and is forming his Québec team…

A former rep has been fined and banned for a period of five years.

Quadrus admitted that its internal dealer incentive and sales practices excluding the sale of third-party mutual funds f…