Lawsuits – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 01 May 2024 17:46:22 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Lawsuits – Investment Executive https://www.investmentexecutive.com 32 32 Delay for OSC’s Bridging hearing denied https://www.investmentexecutive.com/news/from-the-regulators/delay-for-oscs-bridging-hearing-denied/ Wed, 01 May 2024 17:41:02 +0000 https://www.investmentexecutive.com/?p=485080 Tribunal refused to pause its proceedings while lawyers try to get paid

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]]> Emerge ETFs class action won’t proceed https://www.investmentexecutive.com/news/products/emerge-class-action-wont-proceed/ Fri, 26 Apr 2024 19:00:54 +0000 https://www.investmentexecutive.com/?p=484833 Fund manager has no assets or insurance, lawyer says

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]]> Tribunal asked to pause OSC’s Bridging case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-asked-to-pause-oscs-bridging-case/ Wed, 24 Apr 2024 16:49:00 +0000 https://www.investmentexecutive.com/?p=484673 Lawyers for firm's founder seek adjournment amid unpaid legal bills

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]]> Court certifies crypto class action against Binance https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-crypto-class-action-against-binance/ Mon, 22 Apr 2024 18:06:31 +0000 https://www.investmentexecutive.com/?p=484473 Suit alleges that retail investor trades violated securities law

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]]> FSRA disciplinary disclosure faces legal challenge https://www.investmentexecutive.com/news/from-the-regulators/fsra-disciplinary-disclosure-faces-legal-challenge/ Thu, 18 Apr 2024 20:07:19 +0000 https://www.investmentexecutive.com/?p=484297 Ontario court allows bid for judicial review of enforcement practices

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]]> Ontario court certifies fourth NSF fee class action https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-certifies-fourth-nsf-fee-class-action/ Fri, 12 Apr 2024 12:51:10 +0000 https://www.investmentexecutive.com/?p=483595 Case alleges Scotiabank charged duplicate fees on failed debits

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]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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]]> Advocis settles with SeeWhy over non-payment of study materials https://www.investmentexecutive.com/news/industry-news/advocis-settles-with-seewhy-over-non-payment-of-study-materials/ Thu, 04 Apr 2024 19:40:15 +0000 https://www.investmentexecutive.com/?p=483126 Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says

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]]> Margin call claim must go to trial https://www.investmentexecutive.com/news/from-the-regulators/margin-call-claim-must-go-to-trial/ Wed, 27 Mar 2024 18:29:33 +0000 https://www.investmentexecutive.com/?p=482834 Question of whether client used stop loss orders requires hearing, court rules

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]]> Julie Martini sues Advocis for constructive and wrongful dismissal https://www.investmentexecutive.com/news/industry-news/julie-martini-sues-advocis-for-constructive-and-wrongful-dismissal/ Fri, 22 Mar 2024 14:54:03 +0000 https://www.investmentexecutive.com/?p=482506 The claim is the third against the national financial advisors association in recent months

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