Home Advisors and the law

Keyword: Advisors and the law

32 results found
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court rules promissory note between rep and firm is enforceable

Judge looks at papers

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

High angle view of mallet eyeglasses legal book in courtroom

Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

Judge looks at papers

Appeal court overturned decision granting priority in insolvency to certain Bridging investors

Judge makes ruling

Regulatory tribunal may have erred in dismissing abuse of process application, court finds

gavel

Investors' reps challenge a ruling over who gets priority in an insolvency

gavel

Investor misunderstood difference between advisory and discretionary accounts, court found

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm seeks to suspend the limitation period on potential claims against advisors and dealers

Male hand with pen on the investment chart with calculator and canadian dollars

Rep sought to bring funds she managed for clients to new business

angry client meeting

Red flags to guard against in your practice were outlined at an IFB event