Company: Sterling Mutuals Inc.

16 results found

The settlement is as a result of allegations that Sterling failed to investigate a client complaint and supervise a couple of reps properly

The purchase represents continued expansion as it adds $1.3 billion in AUA to Sterling Mutuals

Deal broadens fund dealer’s network of financial advisors to more than 215 associates

Firm ordered to retain independent monitor to resolve compliance deficiencies

  • By: IE Staff
  • August 21, 2008 August 21, 2008
  • 12:55

Deal follows Foresters’s acquisition of Unity Life of Canada

  • By: Regan Ray
  • June 3, 2008 June 3, 2008
  • 09:22

Firm picks up advisors in three provinces

  • By: Regan Ray
  • May 22, 2008 May 22, 2008
  • 09:50