The small investment dealer, which is selling most of its business to Hampton Securities, must cease dealing with the public as of Jan. 23
Leede Jones Gable expects to continue to add to its footprint, either through more amalgamations or organically
The former founder of Wellington West and Todd Degelman will be opening the firm later this year and maintain a partnership with their previous dealer
Cutting operating costs and adapting technology to compete effectively and compensate for lack of scale are also key traits of successful firms, says Ian Russell in a speech
The defunct investment dealer has been expelled from IIROC membership
Purchase advances firm’s U.S. growth strategy
The ongoing turmoil in the resources sector is having an “outsized impact on the independent investment banks,” a new report suggests
Although regulators don’t oppose these arrangements, it stresses that dealers and portfolio managers must satisfy their regulatory obligations
Although some small and mid-sized firms have also been profitable, they have had to control costs by adopting technology and by altering their payout grids
The independent financial services firm responds to speculation regarding its investment in Richardson GMP