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Laurentian bank logo on building

Deal includes 16,000 accounts, $2 billion in assets, 30 advisors

Judge makes ruling

Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says


Off-channel communications hamper regulatory oversight

Judge gavel, scales of justice and law books in court

The claim is the third against the national financial advisors association in recent months

Judge gavel, scales of justice and law books in court

Appeals by advisor, analyst in insider trading case dismissed

Vacation pay

Lawsuits seeks damages for certain BMO advisors


A slower economy, inflation, higher legal fees contribute to increased rates

client meeting

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

man working on laptop

SRO consults on options for resolving long-standing regulatory disparity

Concept of digital workflows

Freedom to choose your digital tools varies by firm, but independence has its risks and rewards

  • By: Katie Keir
  • December 11, 2023 December 8, 2023
  • 00:09