Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
The penalty follows allegations that he deceived lenders with fake collateral
Amid heightened volatility, equity underwriting activity tanks and debt offerings slip, Refinitiv reports
Two former executives face a hearing next year
H.I.G. Capital and RCM Capital Management team up to acquire Vancouver brokerage
The owner of Chippingham Financial and Rothenberg Group of Cos. Is acquiring the Vancouver-based dealer for more than $100 million
The deals between the three Vancouver-based independent dealers will see PI expand its roster of advisors to more than 200 and its client totals to 40,000 across Canada
Estate in dispute with former firm over ownership of accounts
Purchase of Union Securities by PI Financial is just the latest in a series of deals in the firm's growth strategy
60 advisors to join Vancouver firm