News and resources for Canada's top financial advisors
Est. 1998
Industry
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
By Staff |April 23, 2019
1 min read
A British Columbia Securities Commission panel has fined and permanently banned Lynne Rae Nickford (also known as Lynne Rae Zlotnik) from B.C.’s capital markets for fraud. Nickford is a former registrant and longtime industry professional, says the decision. In August 2017 the panel found that Nickford convinced 13 investors to loan money to or invest […]
By Staff |February 5, 2018
SRO also recoups its costs of $40K
By Staff |January 31, 2018
2 min read
The bank must pay an additional $35,000 in costs
By Staff |January 29, 2018
Find out why
By Staff |January 19, 2018
Commissions influenced his recommendations
By Staff |January 11, 2018
By Staff |December 8, 2017
On Oct. 11, 2017, an MFDA hearing panel permanently banned and fined a previously registered representative, Walter John Dixon. The sanctions result from Dixon’s failure to respond to numerous communication attempts by the MFDA about a client complaint. Over 11 months, the MFDA attempted to contact Dixon by regular mail, registered mail, process servers, email […]
By Staff |November 15, 2017
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned David Tuan Seng Lim and Michael Mugford from B.C.’s capital markets for market manipulation. Lim, a Vancouver resident, was an investment advisor who was registered under the Securities Act during the relevant period. Mugford was a Lions Bay, B.C. resident who was a […]
By Staff |October 26, 2017
Cases also highlight pre-signed forms
By Staff |August 1, 2017
3 min read
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