Keyword: Advisors and the law

52 results found
Business lawyer team. Working together of lawyer in the meeting.

Court rejects appeal of finding that firm could be prejudiced by settlement

calendar court

CIRO must get on with the enforcement proceeding, if that's what it intends to do

Business lawyer team. Working together of lawyer in the meeting.

Barriers to providing information to regulators violate whistleblower protections, SEC alleges

Illustration of a businessperson using a magnifying glass to examine files

Government proposes easing service requirements for investigative notices

Judge looks at papers

Both sides appealed rulings involving rep inheriting client's estate

New SCC ruling allows fraudsters to escape regulatory penalties via bankruptcy

Judge looks at papers

Regulators' penalties don't survive bankruptcy, but disgorgement orders do, court finds

Judge looks at papers

Court rejects confidentiality in alleged wrongful dismissal case

Judge looks at papers

Gift to son denied, as it wasn't specifically set out in POA

Vacation pay

Lawsuits seeks damages for certain BMO advisors