Dundee Securities – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 17 Oct 2019 13:24:02 +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 Dundee Securities – Investment Executive https://www.investmentexecutive.com 32 32 Echelon acquires Dundee Securities https://www.investmentexecutive.com/news/industry-news/echelon-acquires-dundee-securities/ Fri, 14 Dec 2018 11:00:36 +0000 https://www.investmentexecutive.com/?p=360165 Veteran advisor Les Sherman makes the switch

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]]> Dundee Securities, Echelon Wealth complete advisor deal https://www.investmentexecutive.com/news/industry-news/dundee-securities-echelon-wealth-complete-advisor-deal/ Tue, 26 Apr 2016 20:40:00 +0000 https://www.investmentexecutive.com/uncategorized/dundee-securities-echelon-wealth-complete-advisor-deal/ 72 former Dundee Goodman Private Wealth advisory teams join Echelon

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]]> PPI, Dundee Goodman Insurance form strategic alliance https://www.investmentexecutive.com/news/industry-news/ppi-dundee-goodman-insurance-form-strategic-alliance/ Thu, 15 May 2014 14:30:00 +0000 https://www.investmentexecutive.com/uncategorized/ppi-dundee-goodman-insurance-form-strategic-alliance/ Clients will benefit from sophisticated support for risk management and estate planning

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]]> Sixty Richardson GMP advisors moving to Dundee https://www.investmentexecutive.com/news/industry-news/sixty-richardson-gmp-advisors-moving-to-dundee/ Mon, 13 Jan 2014 21:30:00 +0000 https://www.investmentexecutive.com/uncategorized/sixty-richardson-gmp-advisors-moving-to-dundee/ For some advisors, this could be the fourth acquisition in a little more than 10 years

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]]> Dundee fined $110,000 for failing to supervise accounts https://www.investmentexecutive.com/news/from-the-regulators/dundee-fined-110000-for-failing-to-supervise-accounts/ Mon, 16 Dec 2013 16:30:00 +0000 https://www.investmentexecutive.com/uncategorized/dundee-fined-110000-for-failing-to-supervise-accounts/ Regina rep had elderly clients with low risk tolerance invested in equities and holding a margin account

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]]> Dundee appoints new chief economist https://www.investmentexecutive.com/news/people/dundee-appoints-new-chief-economist/ Mon, 16 Dec 2013 12:00:00 +0000 https://www.investmentexecutive.com/uncategorized/dundee-appoints-new-chief-economist/ Economics expert Martin Murenbeeld brings added value to Dundee clients

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]]> Class action certified in Verbeek, Dundee Securities case https://www.investmentexecutive.com/news/industry-news/class-action-certified-in-verbeek-dundee-securities-case/ Fri, 09 Aug 2013 17:10:00 +0000 https://www.investmentexecutive.com/uncategorized/class-action-certified-in-verbeek-dundee-securities-case/ More than 600 former clients claiming $17 million

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]]> Dundee Securities selects Fidelity Clearing platform https://www.investmentexecutive.com/news/industry-news/dundee-securities-selects-fidelity-clearing-platform/ Mon, 09 Apr 2012 19:30:00 +0000 https://www.investmentexecutive.com/uncategorized/dundee-securities-selects-fidelity-clearing-platform/ FCC to provide clearing services for brokerage business

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]]> Ex Dundee Securities rep a forger and a fraudster, says IIROC panel https://www.investmentexecutive.com/news/from-the-regulators/ex-dundee-securities-rep-a-forger-and-a-fraudster-says-iiroc-panel/ Wed, 01 Dec 2010 16:59:00 +0000 https://www.investmentexecutive.com/uncategorized/ex-dundee-securities-rep-a-forger-and-a-fraudster-says-iiroc-panel/ O’Neill misappropriated more than $200,000 of client funds

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]]> Dundee Securities gets OK for two compliance heads https://www.investmentexecutive.com/news/industry-news/dundee-securities-gets-ok-for-two-compliance-heads/ Sun, 13 Jun 2010 20:22:00 +0000 https://www.investmentexecutive.com/uncategorized/dundee-securities-gets-ok-for-two-compliance-heads/ OSC allows separate officers for institutional and retail divisions

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