PI Financial Corp. | Investment Executive https://www.investmentexecutive.com/post_company/pi-financial-corp/ Canada's news source for financial professionals Tue, 16 Dec 2025 14:32:12 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png PI Financial Corp. | Investment Executive https://www.investmentexecutive.com/post_company/pi-financial-corp/ 32 32 Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

The post Panel rejects CIRO case against reps, again appeared first on Investment Executive.

]]> Rep’s misconduct shouldn’t be career ending: SRO https://www.investmentexecutive.com/news/from-the-regulators/reps-misconduct-shouldnt-be-career-ending-sro/ Mon, 15 Dec 2025 21:13:59 +0000 https://www.investmentexecutive.com/?p=527774 Breach not worthy of year-long suspension, CIRO panel finds

The post Rep’s misconduct shouldn’t be career ending: SRO appeared first on Investment Executive.

]]> Former PI exec fined, banned in Ng fraud https://www.investmentexecutive.com/news/from-the-regulators/former-pi-exec-fined-banned-in-ng-fraud/ Tue, 06 Feb 2024 20:59:17 +0000 https://www.investmentexecutive.com/?p=479968 Firm's executive aided Ng's scheme to raise funds with falsified collateral

The post Former PI exec fined, banned in Ng fraud appeared first on Investment Executive.

]]> Echelon Wealth to merge with PI Financial https://www.investmentexecutive.com/news/industry-news/echelon-wealth-to-merge-with-pi-financial/ Tue, 07 Mar 2023 22:41:21 +0000 https://www.investmentexecutive.com/?p=461663 The firms are looking to add scale and grow their wealth management business

The post Echelon Wealth to merge with PI Financial appeared first on Investment Executive.

]]> Ex-rep faces $2.5-million fine, ban for misappropriation https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-faces-2-5-million-fine-ban-for-misappropriation/ Tue, 28 Feb 2023 22:12:06 +0000 https://www.investmentexecutive.com/?p=461231 SRO panel delayed its decision pending proof of repayment that never came

The post Ex-rep faces $2.5-million fine, ban for misappropriation appeared first on Investment Executive.

]]> Rep sanctioned after ignoring clients’ red flags https://www.investmentexecutive.com/news/from-the-regulators/rep-sanctioned-after-ignoring-clients-red-flags/ Mon, 19 Sep 2022 18:44:18 +0000 https://www.investmentexecutive.com/?p=451748 Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says

The post Rep sanctioned after ignoring clients’ red flags appeared first on Investment Executive.

]]> IIROC hits Ng with record $5-million fine https://www.investmentexecutive.com/news/from-the-regulators/iiroc-hits-ng-with-record-5-million-fine/ Wed, 01 Jun 2022 16:12:55 +0000 https://www.investmentexecutive.com/?p=445388 The penalty follows allegations that he deceived lenders with fake collateral

The post IIROC hits Ng with record $5-million fine appeared first on Investment Executive.

]]> Investment bankers take it on the chin in rough Q1 https://www.investmentexecutive.com/news/research-and-markets/investment-bankers-take-it-on-the-chin-in-rough-q1/ Wed, 13 Apr 2022 18:00:03 +0000 https://www.investmentexecutive.com/?p=442727 Amid heightened volatility, equity underwriting activity tanks and debt offerings slip, Refinitiv reports

The post Investment bankers take it on the chin in rough Q1 appeared first on Investment Executive.

]]> PI Financial purchase in 2018 financed with fake collateral, IIROC alleges https://www.investmentexecutive.com/news/from-the-regulators/pi-financial-purchase-in-2018-financed-with-fake-collateral-iiroc-alleges/ Tue, 24 Nov 2020 20:58:50 +0000 https://www.investmentexecutive.com/?p=411552 Two former executives face a hearing next year

The post PI Financial purchase in 2018 financed with fake collateral, IIROC alleges appeared first on Investment Executive.

]]> PI Financial bought by joint venture https://www.investmentexecutive.com/news/industry-news/pi-financial-bought-by-joint-venture/ Wed, 08 Jul 2020 19:21:20 +0000 https://www.investmentexecutive.com/?p=403719 H.I.G. Capital and RCM Capital Management team up to acquire Vancouver brokerage

The post PI Financial bought by joint venture appeared first on Investment Executive.

]]>