Regulator comes down hard on insider trading with $15,000 fine

The representative was also required to pay an internal sanction of $50,000 by his employer.

INVESTMENT | August 23 2023 10:15AM
Licensee reprimanded with $1,000 penalty for inaccurate insurance form execution

Life agent breached code of conduct by witnessing a signature done in his absence.

LIFE INSURANCE | August 22 2023 09:54AM
Sanctioned registered rep has insurance license revoked

Representative, the subject of multiple regulatory investigations, held the last of three licenses to be decided on by O…

LIFE INSURANCE | August 18 2023 03:34PM
Discretionary trading lands investment representative $15,000 fine

Regulator says use of unapproved sales materials contrary to rules.

INVESTMENT | August 17 2023 10:26AM
Failure to follow policies and procedures lands advisor in hot water

Regulator penalizes representative with $40,000 in fines for know-your-client failures.

INVESTMENT | August 15 2023 03:46PM
Misappropriation of $300,000 results in five-year ban from registration

Police investigation closed in 2021.

SOCIETY | August 14 2023 04:10PM
Outside activities, accepting monies from issuer leads to $20,000 fine

Regulator also orders commission disgorgement of $35,500.

INVESTMENT | August 11 2023 10:09AM