Nivet updated forms and signatures without contacting clients
Leemhuis receives 5-year ban
Laverdiere sold Horizon FX product that was not approved by dealer
Westgard permanently banned by MFDA
Rosenfelder agrees to $10,000 penalty
Investments recommended by Irwin had not been approved for sale by firm
The fund, which covers client assets in case of bankruptcy, needs to surpass its original $30-million target, says its president
Henry misappropriated client funds
Eligible commissions must be from business conducted by a rep on behalf of an MFDA member
Debentures sold by Kruss were not approved by dealers