Investors lost nearly $1.4 million in long-running fraud
Regulatory action deals with subset of $1.8 million misappropriation
Investors lost $9.8M on investment that turned out to be a fraud
Rep lost money alongside clients in unapproved outside investment
Panel concluded that rep was participating in proceeding anonymously
Incentive structure favoured in-house funds over third-party funds, regulator found
The suite, available Sept. 9, includes 18 new funds and rebranded Quadrus mutual funds
The Pathways lineup has a new name and new series
Mergers expected to take effect on Feb. 8
Firm adds two new high net-worth series of Quadrus funds