An Investment Dealers Association of Canada hearing panel has fined a Vancouver broker $5,000 for forging a client’s signature.

Warren Gee, at all material times a s, a Member of the IDA.

In a hearing held on November 10, Warren Gee, a registered rep with the Vancouver office of CIBC Investor Services, admitted that he forged the signature of a client on a document without the knowledge or prior authorization of the client.

In addition to the fine, and as a condition of re-approval in any registered capacity, Gee must successfully re-write the Conduct and Practices Handbook exam. Upon resuming employment as a registered rep with any IDA firm, Gee will be subject to close supervision for a period of one year. In addition, he must pay pay $2,500 in IDA costs.

Gee had no disciplinary history prior to this matter, the IDA said.

For a complete summary of facts, please see IDA Bulletin 3358.