SRO sought to investigate after compliance review discovered pre-signed forms
Ontario court orders summary judgment in favour of bank
Enforcement penalties will be used to help fund the new SRO
Rep fined after switching a nonagenarian's account into a DSC fund
SRO levies $60,000 fine and orders $10,000 in costs
The four victims included insurance clients and were the advisor's family members
SRO taps Steven Glover as new chair, brings Steven Donald back to board in new role
New cases, sanctions, and fine collection rates all rose, though volume of cases opened during the year declined to 414 in 2021 from 461 in 2020
Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found
Ex-fund rep misappropriated client money and disappeared