MFDA fines advisor $65,000
A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (MFDA) announced April 17 that it has confirmed sanctions against Sean William Maxwell.
The MFDA found that Maxell engaged in discretionary trading when, on March 9, 2015, he processed a trade in the account of a client and used his discretion to determine the amount and timing of the trade. On t...
by The IIJ Staff April 18, 2018, 1:30 p.m.