Made arrangements with friends and family and used personal funds to complete client deposits.

Misappropriation, outside business activities also result in permanent ban from registration.

Inter-jurisdictional order mirrors Alberta Securities Commission sanctions in suitability case.

Former representative maintains that sanctions were unwarranted for her actions.

Tax-free savings accounts cannot be opened by a nonresident of Canada.

Pandemic redemption thwarted by incomplete know your client information.

Latest representative sanctioned for participating in Wealthsimple Advisor onboarding process.