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The Liability of the Securities Broker and its Representative

February 17, 2016

9125-0191 Québec Inc. v. CTI Capital valeurs mobilières Inc., 2015 QCCS 2333

Both the securities broker and its representative failed to ensure that the investments made were consistent with the client’s investor profile, her objectives, and her risk level. Consequently, they had to pay more than $245,000 in damages for the losses incurred, although the client had to bear 30% of the damages for neglecting to review her monthly statements.

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