Subordinate team’s pre-signed forms ends in sanctions for branch manager

More than 3,000 pre-signed forms found stored in an empty cubicle.

LIFE INSURANCE | June 26 2023 03:55PM
Representative sanctioned and fined $40,000 for off-book transactions

Facilitated purchases after firm repeatedly denied request to lift moratorium on cannabis investing.

INVESTMENT | May 03 2023 10:43AM
Company surveys show Canadians are increasingly worried about money

Three bank studies indicate many are struggling.

SOCIETY | February 28 2023 04:40PM
Rep sanctioned after more than 3,000 pre-signed forms recovered

Representative personally signed 503 forms seized in internal investigation.

INVESTMENT | December 22 2022 10:38AM
Representatives sanctioned for accepting sport and charity sponsorships

Two reps have agreed to pay a fine each of $10,000, disgorge $65,571.44 and pay costs totalling $5,000 after entering in…

INVESTMENT | May 24 2022 09:24AM
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Many Canadians losing sleep over their financial situation

About three quarters of Canadians worry about their finances, according to a Scotiabank poll.

SOCIETY | January 05 2022 10:11AM
Regulator publishes reasons for banning advisor for two years

He was also fined $17,500 and costs totalling $2,500.

INVESTMENT | October 12 2021 03:20PM