Nand Kishor Singh Gusain to pay $17,500 plus costs after falsifying forms for multiple clients – and ignoring warning about prior conduct
The latest example of a dealing representative getting a fine leaves many advisors wondering when the SROs bite will match its bark
A WP article from February defending the embedded compensation fee structure so enraged a Toronto advisor he just had to have his viewpoints heard. Whether he’s right or wrong is open to debate but what isn’t is his passion for the subject.
One advisor is already meeting with an increasing number of clients seeking a second opinion and suggests the threat of CRM2 full disclosure is anything but overblown.
Broadridge Financial Solution’s acquisition announcement from last week suggests advisors might be wise to outsource some or all of their marketing-based financial communications.
A fine of $200K is large, but the opportunity costs of having to sit out a full two-year suspension may be even greater for a young advisor losing his appeal in IIROC proceedings.
In an exclusive with WP, the former Chairman of Merrill Lynch International is reflecting on the 2001 sale of Midland Walwyn to CIBC arguing its negative impact continues to be felt by Canada’s independents.
It’s a disturbing trend among ultra-high-net-worth investors that threatens to limit the amount of investible assets they hand over to advisors.
The nominations for Wealth Professional’s biggest night of the year close March 31 and we couldn’t be happier with the five industry pros we’ve selected to vet all those in the running for one of the 20 awards up for grabs June 5.
Advisors would do well to follow the lead of recruiters who are actively pursuing Lebron James’ 10-year-old son, anticipating his inevitable rise to stardom and financial success.
The latest stats about women in the workforce are raising concerns about their financial horizons without the expert guidance of advisors.