He received compensation as an adjuster while his license was lapsed.
Segregated fund sales advanced, but low interest rates hindered fixed annuities in 2021.
Former firm owner also fined $20,000 for ignoring MFDA orders and his own chief compliance officer’s recommendations.
Setting up pre-authorized contributions without client authorization or knowledge to qualify for sales bonuses, ends in
Registered since August 1999, sanctioned dealing representative admits to facts in settlement agreement with the MFDA.
David Singh sentenced to three and half years, ordered to pay $4.8-million in restitution for Rockfort and Greenview mor
New premiums faltered but the number of policies was unchanged in 2021, compared with 2020.