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CA
Ex-rep sanctioned for misappropriation
['James Langton']
Investment Executive
A former mutual fund rep who admitted to misappropriating money from clients has been fined and permanently banned by a regulatory hearing panel.
Following a hearing on sanctions, a disciplinary panel of the Canadian Investment Regulatory Organization (CIRO) banned Christina (Lorna) Cole — a former rep with BMO Investments Inc. in Squamish, B.C.
— for misappropriating approximately $24,800 from several clients, including a couple of recently deceased clients.
The bank discovered the misconduct following an investigation that was launched after it found that she purchased a bank draft from a former client’s bank account and deposited the proceeds into her own account at the bank.
In addition to the industry ban, the CIRO panel also fined Cole $50,000, and ordered her to pay $1,800 in disgorgement and $7,500 in costs.