The Alberta Insurance Council has fined an agency and its agent after the representative reported that he had been compe…

The MFDA has fined and suspended a former dealing representative after he began selling syndicated mortgage investments …

IIROC has fined and sanctioned an Industrial Alliance Securities representative $50,000 after he admitted he failed to f…

The Insurance Council of British Columbia is fining a life, accident and sickness insurance agent for failing to meet th…

An Ontario insurance agent has been ordered to pay a $5,000 administrative penalty, announced the Financial Services Reg…

The Investment Industry Regulatory Organization of Canada has fined and sanctioned a Halifax-based advisor who failed to…

PEAK Securities Inc. is the latest PEAK Financial Group Inc. subsidiary to be hit with regulatory fines and sanctions.