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Former advisor sanctioned with five-year ban and fine

He admitted to engaging in personal financial dealings with clients and circumvented FINTRAC large cash transaction repo…

INVESTMENT | April 15 2021 04:00PM
Advisor banned by two regulators

The Investment Industry Regulatory Organization of Canada has permanently banned an advisor who was previously banned by…

INVESTMENT | April 13 2021 03:30PM
Agent fined $5,000 after admitting incompetence

A general agent is being sanctioned after an insurance council investigated allegations brought to light by his former a…

P&C | April 05 2021 11:50AM
Former agent sanctioned for application misrepresentation

A former agent has agreed to pay a civil penalty for failing to properly classify client information on a number of insu…

P&C | April 05 2021 10:00AM
Operating agent fined for allowing unlicensed activity

An insurance council has issued a decision after an agent self-reported that she’d inadvertently allowed an employee to …

P&C | March 26 2021 12:15PM
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Former rep fined for withholding premiums from insurer

An insurance council imposed the maximum fine permitted in the case.

P&C | March 26 2021 11:30AM
Regulator sanctions rep for unsuitable recommendations

The Investment Industry Regulatory Organization of Canada has fined a representative $50,000 and will suspend him after …

INVESTMENT | March 19 2021 10:30AM