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Fine and permanent ban ordered for representative who borrowed money

Vulnerable client loses $138,509 over more than three years.

INVESTMENT | January 29 2024 04:02PM
Former agent refused license, agrees to never re-apply again

Elderly client’s beneficiary designation changed to name agent’s father.

INVESTMENT | January 22 2024 04:12PM
Securities commission collects just $69,887.85 of $8.6-million penalty

Nine investors defrauded by Paul Se Hui Oei and Canadian Manu eligible to divide payment.

INVESTMENT | January 22 2024 10:21AM
Agent misappropriates client funds to invest in bitcoin

British Columbia case results in five-year ban, plus fine and costs for agent.

INVESTMENT | January 17 2024 09:51AM
Leede Jones Gable fined for failed supervisory and money laundering policies

Failing to supervise registered representative who himself ignored red flags ends in sanction.

INVESTMENT | January 09 2024 04:08PM
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Alberta Insurance Council orders $145,000 civil penalty

Regulator finds agent initiated 29 life insurance applications containing false information.

LIFE INSURANCE | January 05 2024 10:44AM
Panel accepts $5,000 fine in agreement over electronic signature falsification

Representative comes clean during company investigation after initially denying allegations.

INVESTMENT | December 20 2023 10:51AM