SRO alleged rep took money from a client who was a fellow fund rep
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
Panel handed down tougher sanctions than SRO sought
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
IG Wealth will be first financial services firm to use the platform
Suitability remains investors’ top complaint, OBSI says
The former rep borrowed more than $100,000 from clients
The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules