New Quadrus president actively integrating Excel

Tim Prescott's successor is about to wrap up the transfer of Excel Private Wealth clients and is forming his Québec team…

INVESTMENT | April 25 2022 10:10AM
Stealth advising relationship ends in sanctions

A former rep has been fined and banned for a period of five years.

LIFE INSURANCE | February 22 2022 10:34AM
Quadrus fined $600,000 for incentive and sales practices

Quadrus admitted that its internal dealer incentive and sales practices excluding the sale of third-party mutual funds f…

LIFE INSURANCE | November 25 2021 09:40AM
Excel Private Wealth to merge with Quadrus in 2022

Once approved by the regulators, the merger will create one of the largest independent brokerages in Canada.

INVESTMENT | November 18 2021 04:30PM
Regulator metes out series of sanctions for pre-signed account forms

Four of the reps being disciplined come from the same firm.

INVESTMENT | October 08 2021 03:55PM
Ontario regulator fines and bars former advisor from trading

He engaged in illegal tipping and insider trading in the shares of WeedMD Inc.

INVESTMENT | September 01 2021 04:31PM
Mutual Fund Dealers Association of Canada advisor permanently barred

Advisor admitted to borrowing money from client against MFDA rules.

INVESTMENT | June 25 2021 09:02AM