SRO fine pales against firm's $32-million remediation plan
Scotia Capital sued Aphria over unpaid invoice for takeover defence work
BMO tops league tables, followed by CIBC and Scotia
Rep admitted to unapproved outside dealings with clients
The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.
Increases in market share come amid the surge in high-grade credit trading
Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
The settlement stems from allegations that the firm failed to properly supervise former portfolio manager Krishna Sammy
The firm had discovered that some clients in fee-based accounts were also paying trailer fees as a result of problems within its systems of control and supervision
DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption