Company: Scotia Capital Inc.

65 results found
Scotiabank CEO Brian Porter elected IIF treasurer

Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia

The settlement stems from allegations that the firm failed to properly supervise former portfolio manager Krishna Sammy

The firm had discovered that some clients in fee-based accounts were also paying trailer fees as a result of problems within its systems of control and supervision

DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption

First alternative investment product added to lineup

  • By: IE Staff
  • July 30, 2013 December 14, 2017
  • 13:40

Firm failed to comply with trading supervision obligations

  • By: IE Staff
  • June 19, 2013 December 19, 2017
  • 07:00

Firm made trades in securities of 14 companies that were subject to cease trade orders

Regulator failed to make its case against former Scotia Capital star trader, panel rules

Court grants Scotia motion to dismiss trading loss case

ScotiaMcLeod's first CIO, Shane Jones, says his early life as a soccer professional helps him stay on top of the play when it comes to money and markets