fines

Ontario fund rep suspended, fined $20,000

A settlement hearing in the matter of Scott Devries was held yesterday in Toronto before a hearing panel of the MFDA's Central Regional Council.

By Staff |May 16, 2012

2 min read

Panel tosses $1.3 million client complaint

Merrill Lynch was handed a victory by a U.S. arbitration panel after expert witnesses testified the portfolio in question was diversified.

By Staff |January 18, 2012

1 min read

Broker impersonates uncle on insurance app

Though it can be hard for seniors to get insurance, swindling underwriters won't help you.

By Wire services |January 3, 2012

1 min read