Echelon Wealth Partners faces action by Canada’s industry regulator over U.S. trading

Canadian Investment Regulatory Organization has launched a disciplinary hearing against Echelon Wealth Partners Inc. and one of its employees over gatekeeping failures with U.S. over-the-counter trading
Toronto-based brokerage Echelon Wealth Partners Inc. used to do very little trading in U.S. over-the-counter stocks. Then it hired Stephen Burns. In the four years after Mr. Burns joined the [...]