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COURT APPROVES CIBC TRAILER FEE SETTLEMENT

The Ontario Superior Court of Justice has approved an $11-million settlement of a class action against CIBC over the payment of trailer fees to discount brokers — claiming damages for full-service cl...

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Investment Executive
THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
January 08, 2026

U.S. authorities charged three brothers, an investment banker and a couple of other friends for allegedly engaging in insider tra...

Investment Executive
EX-TD BANKER PLEADS GUILTY IN MONEY LAUNDERING CASE
January 08, 2026

A former TD Bank manager in New York has pled guilty for his role in facilitating money laundering activity at the bank. Wilfredo...

Investment Executive
ADVISOR TITLE REGULATION IN EFFECT FOR NEW BRUNSWICK
January 08, 2026

Legislation to regulate the major advisor titles — financial advisor and financial planner — is now in effect in New Brunswick. U...

Investment Executive
ADVISOR"S NOTES INADMISSIBLE, COURT FINDS
January 08, 2026

Notes taken by an investment advisor must meet the test for admissibility — establishing that they were produced in the ordinary ...

CIRO
CIRO SANCTIONS PFSL INVESTMENTS CANADA REP FROM MARKHAM, ON
January 07, 2026

CIRO sanctioned Eugene Patrick Palacol (Palacol), a dealing representative with PFSL Investments Canada Ltd. from Markham, Ontari...

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