Operating advice website under a pseudonym an outside business activity

Rep also fined and banned for processing transactions to increase his commission.

INVESTMENT | February 28 2024 10:05AM
Brand new dealing representative fined and suspended

Falsifying signatures six months on the job, discovered during a file review.

INVESTMENT | November 15 2023 10:28AM
Scotia Securities fined $1-million

Firm paid $10.8-million in restitution and terminated more than 34 approved persons.

INVESTMENT | November 13 2023 10:44AM
Changing client needs could force shift in industry growth models

Generational trade-offs and decumulation discussed by leaders in recent panel discussion.

INVESTMENT | November 03 2023 10:55AM
Regulator comes down hard on insider trading with $15,000 fine

The representative was also required to pay an internal sanction of $50,000 by his employer.

INVESTMENT | August 23 2023 10:15AM
Pre-signed forms met with very different sanctions in different cases

35 pre-signed forms costs representative $10,000; thousands of forms attracts $70,000 sanction.

INVESTMENT | July 27 2023 03:30PM
Sun Life moves to acquire Dialogue

Shareholders offered premium of 43.1 per cent over company’s closing price on July 25.

INVESTMENT | July 26 2023 10:35AM