Investors Group

Former advisor fined for complaint reporting failures

The respondent violated IIROC regulations and misled staff during an investigative interview

Advisor banned for persuading clients to invest in clothing business

Duke Ongechi given two-year ban and $20,000 fine by the MFDA after at least five people put forward more than $75,000

Ex-advisor banned after borrowing money from double amputee

Respondent, who was heavily in debt, lost her job and has been fined by the MFDA

Veteran mutual fund rep banned for life

Former IG employee borrowed money from senior clients and worked a second job without approval

'I wanted to be wealthy. I wanted to have that security'

Michael Lee-Chin reflects on what drove him early in his career and reveals the three conditions for outsized wealth

Deadline extended until November 8 for WPC's annual showcase

Entries for Top 50 Advisors close this Friday, enter now while there’s still time

Advisor fired after co-investing in condo with client

Israel Notis admits number of violations and is banned by the MFDA for four years

Emphasizing the human touch

Kelly Hemmett doesn’t shy away from using the latest technology – but he does it while building personal, trusting relationships with his clients

'Nearly 200 unapproved trades cost client $22,000'

Two advisors accused by MFDA of raft of violations concerning jointly managed account

Advisor fired after facilitating clothing company investments

Ex-Investors Group rep engaged in unapproved outside activity and personal financial dealings with clients