Increases in market share come amid the surge in high-grade credit trading
Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
The settlement stems from allegations that the firm failed to properly supervise former portfolio manager Krishna Sammy
The firm had discovered that some clients in fee-based accounts were also paying trailer fees as a result of problems within its systems of control and supervision
DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption
First alternative investment product added to lineup
Firm failed to comply with trading supervision obligations
Firm made trades in securities of 14 companies that were subject to cease trade orders
Regulator failed to make its case against former Scotia Capital star trader, panel rules
Court grants Scotia motion to dismiss trading loss case