Appeal court overturned decision granting priority in insolvency to certain Bridging investors
Regulatory tribunal may have erred in dismissing abuse of process application, court finds
Investors' reps challenge a ruling over who gets priority in an insolvency
Investor misunderstood difference between advisory and discretionary accounts, court found
Firm seeks to suspend the limitation period on potential claims against advisors and dealers
Rep sought to bring funds she managed for clients to new business
Red flags to guard against in your practice were outlined at an IFB event
Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties
Sometimes your best approach is to refer your client to a lawyer or other professional
Don’t fall for clients’ demands for unsuitable investments