Agency fined $20,000 for repeatedly allowing unlicensed activity

Investigation uncovers 67 transactions completed since 2012 by unlicensed agents.

P&C | April 15 2024 04:37PM
Mutual fund rep fined close to $1.7-million

Outside business activities put former approved person’s interests ahead of clients’ interests.

INVESTMENT | April 12 2024 03:07PM
Missing continuing education, lapsed liability insurance nets $4,000 fine

Representative investigated after leaving annual licensing declaration blank.

LIFE INSURANCE | April 10 2024 04:10PM
Firm fined $1.5 million for failing to supervise trading activity

Advisor fined $80,000 by regulator.

INVESTMENT | April 09 2024 04:19PM
Repeat offender thrown out of the industry permanently

Latest sanction the result of misleading regulators about firm’s ownership and control.

INVESTMENT | April 09 2024 09:56AM
Agent’s license suspended for failing to respond to audit

Insurance council’s annual declaration audit correspondence ignored.

LIFE INSURANCE | April 05 2024 02:55PM
Rep fined for selling personal cryptocurrency assets to clients

He admitted to outside business activity that was not approved of by his firm.

INVESTMENT | April 04 2024 03:50PM