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SRO alleged rep took money from a client who was a fellow fund rep

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Rep fined after switching a nonagenarian's account into a DSC fund


Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found

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Panel handed down tougher sanctions than SRO sought

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Christine Van Cauwenberghe to oversee wealth, advisor training and financial specialist teams


A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation

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IG Wealth will be first financial services firm to use the platform

  • By: IE Staff
  • June 17, 2020 June 17, 2020
  • 12:35
suspicious client

Suitability remains investors’ top complaint, OBSI says

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The former rep borrowed more than $100,000 from clients

Gavel and legal books

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules