CIRO imposes permanent ban and $100,000 fine on advisor for misconduct [Wealth Professional (Canada)]
Primerica, Inc. (PRI)
Last primerica, inc. earnings: 4/29 04:15 pm
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US:NYSE Investor Relations:
investors.primerica.com/home/default.aspx
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Source: Wealth Professional
The Canadian Investment Regulatory Organization (CIRO) concluded a penalty hearing for Juan Carlos Saavedra on September 25. The hearing panel found that Saavedra violated Mutual Fund Dealer Rules by misappropriating or failing to account for client funds and refusing to cooperate with an investigation into his conduct. CIRO's investigation revealed that Saavedra had engaged in this misconduct between July and October 2021. Saavedra admitted to misappropriating $56,065 from a client's account by forging the client's signature on account documentation without their knowledge. He directed the proceeds from unauthorized redemptions of the client's Tax-Free Savings Account (TFSA) to his personal bank account. Additionally, he set up pre-authorized contributions into the TFSA without the client's consent and associated his own bank account with the client's to facilitate unauthorized transactions. When confronted about the withdrawals in October 2021, Saavedra falsely claimed
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PRI
News
- Industry moves this week [Investment Executive - News]Investment Executive - News
- Primerica, Inc. (NYSE: PRI) had its price target lowered by analysts at Piper Sandler from $313.00 to $300.00. They now have a "neutral" rating on the stock.MarketBeat
- What Makes Primerica (PRI) a Strong Momentum Stock: Buy Now? [Yahoo! Finance]Yahoo! Finance
- Ex-fund rep fined, banned over theft [Advisor.ca (Canada)]Advisor.ca
- Ex-fund rep fined, banned over theft [Investment Executive - News]Investment Executive - News
PRI
Earnings
- 11/6/24 - Beat
PRI
Sec Filings
- 12/12/24 - Form 4
- 12/12/24 - Form 4
- 12/12/24 - Form 4
- PRI's page on the SEC website