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Wealth Professional | 27 Oct 2015, 12:41 PM Agree 0
It doesn’t happen very often but the SRO has given a big dealer more than a slap on the wrist for branch transgressions.
  • Ken MacCoy, CHS | 27 Oct 2015, 03:17 PM Agree 0
    Nice to see the dealer being held accountable.

    I expect IIROC will collect the fine & costs from Assante, but what are the odds they will collect from the two (banned for life) advisors?

    If IIROC's collections are anything like the MFDA ... it will (only) look good in print.

    Show me the money!
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