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Former adjuster fined for working while unlicensed

He received compensation as an adjuster while his license was lapsed.

P&C | May 18 2022 02:32PM
Rep sanctioned for ignoring compliance and defying regulator’s orders

Former firm owner also fined $20,000 for ignoring MFDA orders and his own chief compliance officer’s recommendations.

INVESTMENT | May 17 2022 10:30AM
Representative fined, banned 18 months for setting up false PACs to qualify for bonus

Setting up pre-authorized contributions without client authorization or knowledge to qualify for sales bonuses, ends in …

INVESTMENT | May 16 2022 04:33PM
MFDA levies $25,000 fine for photocopying signatures, pre-signed forms

Registered since August 1999, sanctioned dealing representative admits to facts in settlement agreement with the MFDA.

INVESTMENT | May 13 2022 04:33PM
Fraud and trading without registration ends in jail time for Ontario resident

David Singh sentenced to three and half years, ordered to pay $4.8-million in restitution for Rockfort and Greenview mor…

LIFE INSURANCE | May 13 2022 04:27PM
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Agency sanctioned for failure to disclose legal actions and business registration lapse

An insurance council has levied a $5,000 penalty, plus investigation costs against the agency.

SOCIETY | May 12 2022 04:54PM
Failed continuing education audit ends in fine for agent

It was found that the agent made a false or misleading statement when a request for information was sent to him by an in…

SOCIETY | May 10 2022 10:16AM