Richardson GMP advisor recommended an increasingly high-risk investment strategy
Michelle Dunk has breached previous bans
Panel orders fines totalling $865,000
The MFDA had previously banned the rep in 2012
Daniel Reeve is serving a 14-year sentence for fraud
The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
The Calgary-based advisor misappropriated money from a vulnerable, unsophisticated investor who was also his sister-in-law
The former CIBC World Markets rep sold clients’s DSC mutual funds early
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
The panel found that contracts that were marketed as a tax-planning vehicle amounted to securities