Hearing scheduled for Dec. 13
IIROC says firm must alert clients to possible restrictions
Firm’s capital position leads to suspension by several provinces
Manitoba Securities Commission suspends Jory and its advisors because of a capital deficiency the brokerage is facing
The Montreal-based firm is looking to add more advisors, now that it has fully integrated Wellington West into its ranks
Draft guidance indicates that dealers cannot outsource the account opening process, assessing suitability, or handling client complaints
Dealer failed to pay fees
Consolidation: While some firms clean house, others see an opportunity
Second quarter results were the worst in at least a decade, with total operating profit down almost 60% from the previous quarter
Firm says it is refocusing efforts to service clients in major Canadian centres