Copying client signatures nets representative one-year ban and monetary sanctions

Conduct discovered after firms amalgamate in 2021.

INVESTMENT | June 07 2023 03:49PM
Would-be representative sanctioned for disclosing client information to defunct firm

Gave Wealthsimple Advisor Services access to extensive client information in a bid to switch firms.

INVESTMENT | June 06 2023 10:48AM
Ontario regulator levies $200,000 in penalties for deception and churning

Agent and firm also penalized for allowing unlicensed activity and lying to investigators.

LIFE INSURANCE | June 06 2023 10:42AM
Regulator fines representative for manipulative market activity

Also sanctioned for breaking his dealer’s rule about texting via unapproved platforms.

INVESTMENT | May 18 2023 10:44AM
Former broker fined $30,000 for fraudulent activity

Unlicensed activity included bilking one high-risk driver for $4,800.

P&C | May 05 2023 10:51AM
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
Distributing confidential information to competing companies nets $2,500 fine

Former agent sent both agent and client information to agencies in an effort to gain employment.

LIFE INSURANCE | May 01 2023 10:55AM