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Dealer fined $75,000 for failing to supervise trading

  • By: IE Staff
  • December 4, 2012 December 4, 2012
  • 15:15

The Montreal-based firm is looking to add more advisors, now that it has fully integrated Wellington West into its ranks

NBF says the MFDA piece of Wellington West was not a good fit with its IIROC-based businesses

Four funds closed to new purchases

When National Bank Financial completed its acquisition of Wellington West Capital last year, advisor Ian Houston's clients wanted to know how they would be affected. Houston reassured them: "It's just the logo on your statement that's changing"

Solution intended for investors who are in the withdrawal phase of the investment cycle or looking for additional monthly income

  • October 13, 2011 October 13, 2011
  • 15:55

Charlie Spiring to use skills honed at Wellington West to expand National Bank’s advisor force

Dealer sanctioned for failing to supervise Clarke and O’Reilly

  • By: IE Staff
  • January 23, 2011 December 14, 2017
  • 12:36

Firm and two reps allegedly violated UMIR between April 2006 and June 2007

  • By: IE Staff
  • November 28, 2010 December 14, 2017
  • 11:28

Latest BoC announcement hinted that tightening campaign will continue