Company: Northern Securities Inc.

43 results found

Northern Securities subsidiary not in compliance with IIROC capital requirements

Proceeds would shore up capital requirements of subsidiary Northern Securities

Hearing and review of IIROC decision scheduled for mid-February

NSI must cease sales and advisory activity for retail or institutional customers by the end of the year

IIROC says firm must alert clients to possible restrictions

Provincial regulator to hear appeal of IIROC penalty decision

Victor Alboini sanctioned for violating rules

Dealer failed to pay fees

  • By: IE Staff
  • October 18, 2012 October 18, 2012
  • 16:00

Panel finds the firm and three of its executives violated several rules

Chornoboy leaving for B.C. firm

  • By: IE Staff
  • June 15, 2012 October 11, 2019
  • 08:30