The MFDA sanctioned a former BMO Investments representative, Chad Duart Boutilier. The MFDA found that between September 2018 and...
CN Editor
July 29, 2021
COURT DENIES STAY OF CIRO SANCTIONS
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
CIRO ALLEGES FAILURE TO COOPERATE BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM TORONTO, ON
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS