CIBC Securities Inc. | Investment Executive https://www.investmentexecutive.com/post_company/cibc-securities-inc/ Canada's news source for financial professionals Mon, 23 Jun 2025 15:16:11 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png CIBC Securities Inc. | Investment Executive https://www.investmentexecutive.com/post_company/cibc-securities-inc/ 32 32 Fund reps sanctioned over conflicts https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-sanctioned-over-conflicts/ Fri, 20 Jun 2025 21:12:49 +0000 https://www.investmentexecutive.com/?p=513252 Reps fined, banned for personal financial dealings with clients

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]]> Margin call claim must go to trial https://www.investmentexecutive.com/news/from-the-regulators/margin-call-claim-must-go-to-trial/ Wed, 27 Mar 2024 18:29:33 +0000 https://www.investmentexecutive.com/?p=482834 Question of whether client used stop loss orders requires hearing, court rules

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]]> Rep banned after misappropriating money from client https://www.investmentexecutive.com/news/from-the-regulators/rep-banned-after-misappropriating-money-from-client/ Tue, 30 Jan 2024 21:37:49 +0000 https://www.investmentexecutive.com/?p=479525 SRO panel found the rep opened banking products, including a line of credit, in the client's name

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]]> Rep used fake account, loans to steal from client https://www.investmentexecutive.com/news/from-the-regulators/rep-used-fake-account-loans-to-steal-from-client/ Fri, 12 May 2023 20:45:49 +0000 https://www.investmentexecutive.com/?p=465569 Former fund rep fined, banned by regulators for misappropriation

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]]> Fund rep sanctioned for stealing from bank customers https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-sanctioned-for-stealing-from-bank-customers/ Tue, 29 Jun 2021 12:58:40 +0000 https://www.investmentexecutive.com/?p=424553 Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

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]]> Former fund rep fined, banned by MFDA panel https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-by-mfda-panel/ Thu, 16 Jan 2020 21:52:16 +0000 https://www.investmentexecutive.com/?p=393832 Allegations include improper personal financial dealings and misleading investigators

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