A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
Three questions to ask to protect yourself and your business
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
An oversight examination has uncovered just one "low-priority" issue with market surveillance
The client was repaid, but the funds used to repay the client came from a mysterious source
The proposals are out for a 60-day comment period
The offering follows a pilot program with IG Wealth and Sterling Mutuals
The SRO has warned firms against using delay tactics when a client decides to move on
The regulator handed out $3.4 million in fines last year, down from $9.3 million in 2019