He admitted to engaging in personal financial dealings with clients and circumvented FINTRAC large cash transaction repo…

The MFDA announced that it has fined a former advisor $12,500 plus costs after he admitted he used photocopied signature…

A hearing panel of the Mutual Fund Dealers Association of Canada has permanently banned a former advisor and fined him $…

The MFDA has approved settlement agreements in two cases and issued it reasons for decision in a third case where adviso…

A former fund sales person has been fined just $15,000 plus costs of $2,500 after it was discovered that he signed the s…

The Mutual Fund Dealers Association announced that it has approved a settlement agreement with former Ontario-based rep …

While the loans were repaid in full and there was no complaint from the client, the regulator says the advisor still fai…