Rep admitted to making late-day trades in a venture stock on behalf of a client
Firm aims to broaden offering with estate, trust and power of attorney services
Michol Haimson will focus on growing the private client group’s footprint in Montreal
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
Proposed settlement concern the dealer’s oversight of fee-based accounts
BCU advisors gain access to the Raymond James wealth-management platform
Brokerage firm had good reason to terminate advisor
Veteran Kyle Rookes brings more than a decade of M&A and capital markets experience to the firm, with a focus on the oil field services sector
Russell Green appointed managing director