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Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Representative fined $30,000 for photocopying signature pages

Mutual Fund Dealers Association of Canada imposes sanctions in response to audit which also discovered pre-signed forms …

INVESTMENT | May 27 2022 04:11PM
Supervisor sanctioned for enabling stealth advice

He allowed and helped an unregistered representative to transfer accounts and conduct business for four clients.

INVESTMENT | May 26 2022 04:08PM
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
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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