Decision Notice - CIRO Sanctions Sanjeev Kumar Tejpal Français
Summary
CIRO issued a decision notice after accepting a settlement agreement with Sanjeev Kumar Tejpal. Tejpal admitted he failed to ensure that mutual fund purchases with deferred sales charge schedules were suitable for a client. The settlement requires him to pay a $20,000 fine and $5,000 in costs. The conduct happened while he worked as a registered representative with WFG Securities Inc. in the Surrey, British Columbia area. CIRO says the case is part of its broader investor-protection and disciplinary mandate.
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