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Company: PI Financial Corp.

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Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says


The penalty follows allegations that he deceived lenders with fake collateral

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Amid heightened volatility, equity underwriting activity tanks and debt offerings slip, Refinitiv reports

Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Two former executives face a hearing next year

Downtown Vancouver, BC with bridge over harbour

H.I.G. Capital and RCM Capital Management team up to acquire Vancouver brokerage

Vancouver skyline with Stanley Park

The owner of Chippingham Financial and Rothenberg Group of Cos. Is acquiring the Vancouver-based dealer for more than $100 million

WealthBar raises $5.5 million to create new offerings

The deals between the three Vancouver-based independent dealers will see PI expand its roster of advisors to more than 200 and its client totals to 40,000 across Canada

Estate in dispute with former firm over ownership of accounts

Purchase of Union Securities by PI Financial is just the latest in a series of deals in the firm's growth strategy

60 advisors to join Vancouver firm

  • By: IE Staff
  • August 7, 2012 August 7, 2012
  • 12:50