Representative loses job, ordered to pay $12,500 fine for copying signatures

Regulator finds no lack of client authorization or complaint.

INVESTMENT | December 08 2023 04:55PM
Dealing representative banned five years for outside activities

Regulator says there is no evidence of financial loss by clients or any other individuals.

INVESTMENT | November 09 2023 04:28PM
Regulator continues crackdown on efforts to thwart client feedback

Three additional settlement agreements accepted suspending branch managers and issuing fines.

INVESTMENT | July 14 2023 03:35PM
Outside business activities end in five-year ban, fines and costs

Real estate venture abandoned by former dealing representative.

LIFE INSURANCE | July 07 2023 03:30PM
Efforts to thwart client feedback ends in regulatory sanctions

Regulator settles three separate cases where performance-linked surveys were misdirected.

LIFE INSURANCE | July 06 2023 03:30PM
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Timeline announced for creation of new self-regulatory organization

The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA …

INVESTMENT | November 19 2021 10:30AM
Regulator fines advisor for using pre-signed forms in his former practice

The advisor has agreed to pay a fine in the amount of $25,000 and costs of $2,500.

INVESTMENT | September 20 2021 03:37PM