Regulator finds no lack of client authorization or complaint.
Regulator says there is no evidence of financial loss by clients or any other individuals.
Three additional settlement agreements accepted suspending branch managers and issuing fines.
Real estate venture abandoned by former dealing representative.
Regulator settles three separate cases where performance-linked surveys were misdirected.
The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA
The advisor has agreed to pay a fine in the amount of $25,000 and costs of $2,500.