Company tag
ROYAL MUTUAL FUNDS
Articles
Representative loses job, ordered to pay $12,500 fine for copying signatures
December 8, 2023
Dealing representative banned five years for outside activities
November 9, 2023
Regulator continues crackdown on efforts to thwart client feedback
July 14, 2023
Outside business activities end in five-year ban, fines and costs
July 7, 2023
Efforts to thwart client feedback ends in regulatory sanctions
July 6, 2023
Timeline announced for creation of new self-regulatory organization
November 19, 2021
Regulator fines advisor for using pre-signed forms in his former practice
September 20, 2021
Former advisor sanctioned with five-year ban and fine
April 15, 2021