Alberta rep fined for acting as an “advisor” without being registered as such
Patterson will be a key contributor to the bank’s growing bulk lease financing program
Independent full-service wealth management firms Wellington West Capital Inc. has confirmed the multi-year renewal of its PriceMetrix ValueOne contract across the firm’s network of 178 advisor teams. PriceMetrix is a Toronto software company that helps retail wealth management firms and their advisors optimize selling efforts, manage clients, identify growth opportunities, and enhance practice management. According […]
Former investment banker looking to alter tipping settlement
The executive director of the British Columbia Securities Commission has issued a notice of hearing seeking reciprocal orders against Dirk Christian Lohrisch based on a July 26, 2010 decision of the Investment Industry Regulatory Organization of Canada .In the IIROC decision, the panel found that Lohrisch, a Vancouver, B.C. resident, had contravened its dealer member […]
Self-directed platform helps independent advisors looking for more efficient ways to manage their clients' investment portfolios
Videos help people understand their group retirement statements
Cooney fined $100,000; Jory Capital fined $120,000
Firm fined for supervision, record keeping failings
Dennis failed to inform his firm about referral arrangement