MFDA Alleges Wrongdoing by Salesperson with Investia Financial Services in St. John"s, NL

The MFDA has commenced disciplinary proceedings in respect of Robert John Kent (“Kent”), a mutual fund salesperson with Investia ...

You need to be a subscriber to view this article. It's free!

Sign In / Sign Up

MFDA Enforcement Pre-Signed Account Forms Altering Account Forms

CN Editor

March 25, 2019

Click here to view source article

Related Articles

SEC CHARGES CORPORATE INSIDERS FOR FAILING TO TIMELY REPORT TRANSACTIONS AND HOLDINGS

September 28, 2023

IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY

September 25, 2023

CIRO SANCTIONS RAYMOND JAMES REP FROM QUEBEC CITY

September 25, 2023

MUTUAL FUND DEALER CE CYCLE 1, ENDING NOVEMBER 30, 2023

September 20, 2023

SUBSCRIBE

Feedback

INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS

August 11, 2023

BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS

August 28, 2023

CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS

August 17, 2023

PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS

August 10, 2023