Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
Earlier decision requiring clearing broker to produce records overturned
Former rep admitted to misappropriation
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
An Ontario court rejected an appeal over IIROC sanctions
The firms are looking to add scale and grow their wealth management business
Across multiple industry segments, shifts have occurred
A roundup of the latest advisor and executive moves
Veteran advisor Les Sherman makes the switch
Advisors can reduce the risks of wealth transfer by meeting with client’s children, says Deborah McGrath