Volume of disciplinary actions and total financial sanctions rose in fiscal 2022
Potential conflicts involving clients' wills weren't reported to dealer
IIROC alleged the rep misappropriated millions from elderly clients
Timing of bulk trades and poor record keeping results in disciplinary penalties
Regulator alleged U.K.-based firm violated prohibition on advice
Sanctions include market bans, costs, but no financial penalties
U.K. regulator reports record misleading ad interventions in Q3
Quebec regulator alleges man is using fake documents to dupe victims again
MFDA panel fines, bans rep after finding numerous violations
Settlement follows violations including overlooking suspicious trading activity