Advisors and the law | Investment Executive https://www.investmentexecutive.com/tag/advisors-and-the-law/ Canada's news source for financial professionals Fri, 30 Jan 2026 20:51:32 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Advisors and the law | Investment Executive https://www.investmentexecutive.com/tag/advisors-and-the-law/ 32 32 U.S. advisor gets jail for defrauding clients https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-gets-jail-for-defrauding-clients/ Mon, 02 Feb 2026 13:00:27 +0000 https://www.investmentexecutive.com/?p=530749 Court orders prison, restitution for misappropriating investors' money

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]]> Former rep convicted on fraud charges https://www.investmentexecutive.com/news/former-rep-convicted-on-fraud-charges/ Tue, 27 Jan 2026 21:00:50 +0000 https://www.investmentexecutive.com/?p=530366 Previously banned advisor found guilty of six out of 10 counts

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]]> OSC’s disclosure issues didn’t justify stay: Tribunal https://www.investmentexecutive.com/news/oscs-disclosure-issues-didnt-justify-stay-tribunal/ Mon, 26 Jan 2026 14:40:19 +0000 https://www.investmentexecutive.com/?p=530149 Panel sought alternative remedy to address disclosure concerns

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]]> Court holds lawyer accountable for AI hallucinations https://www.investmentexecutive.com/news/from-the-regulators/court-holds-lawyer-accountable-for-ai-hallucinations/ Fri, 23 Jan 2026 09:00:08 +0000 https://www.investmentexecutive.com/?p=530101 Legal filings included citations that were made up by AI

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]]> Tribunal denies confidentiality, stay motions https://www.investmentexecutive.com/news/tribunal-denies-confidentiality-stay-motions/ Mon, 19 Jan 2026 21:58:00 +0000 https://www.investmentexecutive.com/?p=529748 Panel stresses "open courts" principle in denying closed door hearing

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]]> Advisor’s notes inadmissible, court finds https://www.investmentexecutive.com/news/advisors-notes-inadmissible-court-finds/ Tue, 06 Jan 2026 21:12:32 +0000 https://www.investmentexecutive.com/?p=528800 Notes must meet two-part test to count as evidence

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]]> Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> Court orders AMF tribunal to consider settlement https://www.investmentexecutive.com/news/court-orders-amf-tribunal-to-consider-settlement/ Tue, 18 Nov 2025 18:36:55 +0000 https://www.investmentexecutive.com/?p=525700 Adjudicator declined to review settlement before long enforcement hearing

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]]> As family fights, court names independent estate rep https://www.investmentexecutive.com/news/from-the-regulators/as-family-fights-court-names-independent-estate-rep/ Mon, 10 Nov 2025 15:20:48 +0000 https://www.investmentexecutive.com/?p=524935 Court cites competence, cost certainty in appointing administrator

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