PI Financial Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 06 Feb 2024 20:59:17 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> PI Financial sold to Gary Ng https://www.investmentexecutive.com/news/industry-news/pi-financial-sold-to-gary-ng/ Tue, 20 Nov 2018 15:05:33 +0000 https://www.investmentexecutive.com/?p=359185 The owner of Chippingham Financial and Rothenberg Group of Cos. Is acquiring the Vancouver-based dealer for more than $100 million

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]]> PI Financial to acquire Wolverton Securities and Global Securities https://www.investmentexecutive.com/news/industry-news/pi-financial-to-acquire-wolverton-securities-and-global-securities/ Mon, 21 Mar 2016 18:00:00 +0000 https://www.investmentexecutive.com/uncategorized/pi-financial-to-acquire-wolverton-securities-and-global-securities/ 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

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