Acts in furtherance of a trade violated securities rules
Ban, fine of $300K follow repeat episode of unapproved outside business activity
IIROC panel found rep secretly compensated clients, misled investigators
The industry veteran had joined the firm earlier this year, on Jan. 5, replacing founder and chairman Sam Bouji
Owner Issam El-Bouji to pay fine of $25,000 plus costs
James Beattie to lead full-service investment dealer. David Prestwich appointed CEO, Global RESP Corp. and Global Growth Assets Inc.
Independent advisors offered new RDSP solution
Purchase of Australian giant’s Canadian operation will bolster Global Maxfin’s presence in the West and triple its AUM
Deal will boost Global’s advisor count to over 250