The defunct investment dealer has been expelled from IIROC membership
Purchase of Union Securities by PI Financial is just the latest in a series of deals in the firm's growth strategy
60 advisors to join Vancouver firm
Duda has previously held senior positions with Haywood Securities and Blackmont Captial
The appointment of a new leadership team reflects the firm’s desire to leave its compliance problems in the past
Panel finds four instances of inadequate supervision
An Alberta court has found investment dealer Union Securities Ltd. liable in a case where a client invested in a company that was subject to a cease trade order CTO. The court held Union responsible, despite the fact that the firm ordered the transaction to be reversed as soon as it learned of it.The case, […]
Union Securities reps breached “know your client” obligations
Firm to pay $150,000 for trade supervision and audit trail deficiencies
Corporate governance concerns addressed, says IDA