Union Securities Ltd. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 30 Oct 2019 06:02:49 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Union Securities Ltd. – Investment Executive https://www.investmentexecutive.com 32 32 IIROC panel accepts settlement with Union Securities https://www.investmentexecutive.com/news/from-the-regulators/iiroc-panel-accepts-settlement-with-union-securities/ Tue, 03 Jan 2017 20:45:00 +0000 https://www.investmentexecutive.com/uncategorized/iiroc-panel-accepts-settlement-with-union-securities/ The defunct investment dealer has been expelled from IIROC membership

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]]> Acquisitions without mergers https://www.investmentexecutive.com/newspaper_/news-newspaper/acquisitions-without-mergers/ Fri, 24 Aug 2012 04:00:00 +0000 https://www.investmentexecutive.com/uncategorized/acquisitions-without-mergers/ Purchase of Union Securities by PI Financial is just the latest in a series of deals in the firm's growth strategy

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]]> PI Financial to acquire Union Securities accounts https://www.investmentexecutive.com/news/industry-news/pi-financial-to-acquire-union-securities-accounts/ Tue, 07 Aug 2012 17:50:00 +0000 https://www.investmentexecutive.com/uncategorized/pi-financial-to-acquire-union-securities-accounts/ 60 advisors to join Vancouver firm

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]]> Union Securities appoints new CFO https://www.investmentexecutive.com/news/people/union-securities-appoints-new-cfo/ Mon, 28 Nov 2011 21:00:00 +0000 https://www.investmentexecutive.com/uncategorized/union-securities-appoints-new-cfo/ Duda has previously held senior positions with Haywood Securities and Blackmont Captial

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]]> Union Securities aims to turn the corner https://www.investmentexecutive.com/newspaper_/news-newspaper/news-47846/ Fri, 23 Jan 2009 20:44:00 +0000 https://www.investmentexecutive.com/uncategorized/news-47846/ The appointment of a new leadership team reflects the firm’s desire to leave its compliance problems in the past

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]]> Union Securities options supervisor disciplined https://www.investmentexecutive.com/news/from-the-regulators/union-securities-options-supervisor-disciplined/ Mon, 15 Dec 2008 20:50:00 +0000 https://www.investmentexecutive.com/uncategorized/union-securities-options-supervisor-disciplined/ Panel finds four instances of inadequate supervision

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]]> Union Securities liable in case involving cease trade order, court rules https://www.investmentexecutive.com/news/from-the-regulators/union-securities-liable-in-case-involving-cease-trade-order-court-rules/ Thu, 10 Apr 2008 20:20:00 +0000 https://www.investmentexecutive.com/uncategorized/union-securities-liable-in-case-involving-cease-trade-order-court-rules/ 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, […]

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]]> Stockbrokers settle with BSCS https://www.investmentexecutive.com/news/from-the-regulators/stockbrokers-settle-with-bscs/ Thu, 18 May 2006 12:30:00 +0000 https://www.investmentexecutive.com/uncategorized/stockbrokers-settle-with-bscs/ Union Securities reps breached “know your client” obligations

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]]> Union Securities reaches settlement with RS https://www.investmentexecutive.com/news/from-the-regulators/union-securities-reaches-settlement-with-rs/ Wed, 19 Apr 2006 21:52:00 +0000 https://www.investmentexecutive.com/uncategorized/union-securities-reaches-settlement-with-rs/ Firm to pay $150,000 for trade supervision and audit trail deficiencies

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]]> Compliance monitor completes assignment at Union Securities https://www.investmentexecutive.com/news/from-the-regulators/compliance-monitor-completes-assignment-at-union-securities/ Tue, 10 Jan 2006 21:20:00 +0000 https://www.investmentexecutive.com/uncategorized/compliance-monitor-completes-assignment-at-union-securities/ Corporate governance concerns addressed, says IDA

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