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Company: Investors Group

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

Court.

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

Financial accounting business sheet calculator

Panel handed down tougher sanctions than SRO sought

blue curtain of a classical theater

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

compliance

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

hand touching digital tablet

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

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

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

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

The company is also rolling out more competitive pricing to reward client loyalty

  • By: IE Staff
  • November 15, 2018 October 17, 2019
  • 11:50