The measures are intended to help protect older and vulnerable clients
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
Real estate regulators to be rolled into BCFSA
The regulator alleges investor funds were diverted for personal use
The proposed $40-million deal requires approval at July 30 court hearing
Misguided faith in tactical trading strategy led to the violations
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
The proposals would make the funds safer but potentially less attractive to investors, Moody's says
Some investors may see a zero on their June 30 statements
FINRA seeks input on reaching meme stock traders and other novices