Company: Union Securities Ltd.

14 results found

IDA approves Grant Thornton as monitor

  • By: IE Staff
  • July 26, 2005 July 26, 2005
  • 16:49

A hearing panel of the Investment Dealers Association of Canada has fined Union Securities Ltd. $25,000 for failing to enforce the use of foreign exchange rates by its employees.In a written decision released on April 8, the panel found that between November 2000 and January 2001 inclusive Union failed to establish internal controls with respect […]

  • By: IE Staff
  • April 22, 2005 April 22, 2005
  • 12:10

Alleges U.S. promoter used firm to manipulate OTC shares

  • By: IE Staff
  • September 2, 2004 September 2, 2004
  • 07:45

Firm allowed use of broker's reserve account to pay clients

  • By: IE Staff
  • July 9, 2002 July 9, 2002
  • 16:30