Registered representative fined and sanctioned for due diligence failures

Sincere efforts to improve practices following previous sanction, not applied in a timely enough way.

INVESTMENT | August 04 2023 04:19PM
Regulator fines representative for manipulative market activity

Also sanctioned for breaking his dealer’s rule about texting via unapproved platforms.

INVESTMENT | May 18 2023 10:44AM
Richardson Wealth secures credit to pursue aggressive growth strategy

RF Capital Group Inc., operating under the Richardson Wealth brand, is pursuing an aggressive growth strategy in the hig…

INVESTMENT | September 13 2021 04:28PM
Richardson Wealth appoints recruitment specialist

She will spearhead recruitment initiatives, strategic partnerships and acquisitions for the company.

INVESTMENT | September 08 2021 03:42PM
Richardson Wealth appoints new VP charged with advisory practice growth

Practice management coach, formerly of BMO Private Wealth and RBC DS, starts this week as the company’s new vice preside…

INVESTMENT | June 14 2021 12:32PM
Advertisement
Growth plans lead Richardson Wealth to appoint new vice chair

The vice chair will focus on advisor experience.

INVESTMENT | April 19 2021 02:36PM
GMP Capital completes Richardson transaction

GMP Capital Inc. announced that it has completed the company’s previously announced transaction to consolidated 100 per …

INVESTMENT | October 20 2020 02:24PM