Rep had clients invest in, failed to disclose, his side hustles
Fund rep could fill out basic information, but not KYC info, on investment dealer accounts
Rep recruited tenant as a client without firm's permission
Quebec court cites statutory immunity in dismissing claim
B.C. court strikes certain claims in rep's wrongful dismissal suit
MFDA alleged client gave rep access to bank account while travelling
SRO alleged rep took money from a client who was a fellow fund rep
Rep fined after switching a nonagenarian's account into a DSC fund
Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found
Panel handed down tougher sanctions than SRO sought