Red Flags
1
Serge Robichaud
Serge Robichaud allegedly entered into a referral agreement with a third party and referred at least 11 clients without proper disclosure, violating MFDA regulations.
Quick summary on Serge Robichaud
Misleading Financial Practices:
Serge Robichaud allegedly entered into a referral agreement with a third party and referred at least 11 clients without proper disclosure, violating MFDA regulations.
Obstruction of Investigation:
Robichaud reportedly obstructed the MFDA’s investigation into his conduct, hindering their ability to regulate his activities.
Deceptive Statements:
Between 2015 and 2016, he allegedly provided false and misleading information to MFDA staff and his employer, violating ethical financial standards.
False Credentials:
Robichaud allegedly provided false information about his past employment and termination history to gain professional registration, misleading financial institutions.
Forgery and Unauthorized Documents:
He reportedly obtained and kept 22 blank or partially completed pre-signed account forms, a violation of MFDA policies.
by: Caleb Foster
I can’t respect anyone who gets caught in so many lies. Obstructing an investigation? That’s a whole other level of shady
by: Audrey Barnes
It’s one thing to make a mistake, but misleading people on this level? Robichaud clearly has no regard for the rules or ethics.
Cons
by: Natalie Reed
If you can’t trust someone’s word in the financial world, how can you trust their advice with your money? Robichaud’s behavior raises serious red flags.
Cons
by: Aaron Ward
Hiding behind false credentials and misleading people? Seems like Serge Robichaud was more interested in his own success than doing things the right way.