Former Dundee general counsel joins Raymond James management team
The National Association of Securities Dealers today announced that it has fined Raymond James Financial Services Inc. US$2.75 million for failing to maintain an adequate supervisory system to oversee the sales activities of over 1,000 producing branch managers.In a related action, NASD permanently barred one of those branch managers for recommending unsuitable mutual fund and […]
17 stocks forecast to produce superior results
Firm order to pay $425,000; Deslongchamps fined $50,000
The market for initial public offerings has evolved dramatically in the past decade. Investment bankers have become increasingly creative with the structure and substance of IPOs, turning a traditionally flighty part of the market into a solid source of fees.Investment Executive has been tracking the Canadian IPO market for more than a decade, estimating the […]