Déclarations relatives à l’appariement des courtiers
|
Société |
Date du dépôt |
Date de la déclaration |
Signataire |
Personne-ressource |
| Acker Finley | 17/07/2013 | Undated | Marian Buklis – Chief Compliance Officer | (416) 777-9636 |
| Acumen Capital Finance Partners Limited | 18/06/2013 |
01/09/2007
|
Myja Miller, Chief Financial Officer & Chief Operating Officer | (403) 571-0308 |
| Altus Securities Inc. | 16/08/2013 | Undated | Paul Jelec, Chief Compliance Officer | (416) 369-3025 |
| B2B Bank Securities Services Inc. | 06/12/2013 | 05/12/2013 | Brian Prosser, Chief Compliance Officer | (416) 413-7259 |
| Bank of America Merrill Lynch, Merrill Lynch Canada Inc. | 25/06/2013 | 04/09/2007 | Mark Dickerson, Corporate Secretary | (416) 369-3953 |
| Barclays Capital Canada Inc. | 19/06/2013 |
06/2012 |
John Kennedy, Chief Compliance Officer | (416) 863-8927 |
| BBS Securities Inc. | 05/02/2009 | 10/10/2008 | Bardya Ziaian, President & CEO | (416) 235-1227 |
| Beacon Securities Limited | 22/11/2013 | 02/11/2012 | Alistair Maxwell, Chair & CEO | (902) 492-0594 |
| BMO Nesbitt Burns Inc. | 22/08/2013 | 16/08/2013 | Tino Perciballi, Managing Director | (416) 552-7832 |
| Brant Securities Limited | 24/10/2007 | Undated | Keith McMeekin, President & Chief Executive Officer | (416) 596-4596 |
| Brookfield Financial Corp. | 24/03/2011 | Undated | Brydon Cruise, Chief Compliance Officer | (416) 956-5252 |
| Burgeonvest Securities Limited | 02/10/2007 | Undated | Mario Frankovich, President & CEO | (905) 528-6505 |
| Byron Securities Limited | 22/11/2013 | 01/02/2011 | Geoff Clarke, President & Chief Operating Officer | (416) 867 9800 |
| Caldwell Securities Ltd. | 09/10/2007 | Undated | Sally Haldenby Haba, VP | |
| Canaccord Genuity Corp. | 23/11/2013 | 10/10/2013 | Matt Gaasenbeek, President | |
| Canadian ShareOwner Investments Inc. | 25/11/2013 | 25/11/2013 | Helen Hsia, Chief Compliance Officer | (416) 848-9405 |
| Casgrain & Company Limited | 26/06/2013 |
01/09/2007
|
André Zanga, Vice President & Chief Financial Officer | (514) 871-8080 |
| CIBC World Markets Inc. | 27/11/2013 | Undated | Wayne Ralph, Senior Vice-President CIBC, Wholesale/Brokerage Operations | (416) 681-4494 |
| Citigroup Global Markets Canada Inc. | 19/09/2007 | Undated | David A. Carson, Chief Operating Officer | (416) 866-2294 |
| Citigroup Global Markets Inc. | 28/09/2007 | Undated | Gary Probert, Managing Director | (416) 866-2294 |
| Citigroup Global Markets Limited | 27/09/2007 | Undated | Catherine Munro, Managing Director | (416) 866-2294 |
| Clarus Securities Inc. | 26/11/2013 | 11/2013 | Jim Christodoulis, Chief Executive Officer | (416) 343-2783 |
| Cormark Securities Inc. | 16/08/2013 | Undated | Lou D’Souza LL.B., Vice-President Compliance | (416) 943-6493 |
| Credit Suisse Securities (Canada), Inc. | 25/06/2013 | Undated | Craig Henshaw, Chief Operating Officer | (416) 352-4681 |
| D&D Securities Company | 25/11/2013 | 25/11/2013 | Patrick Lilly, President, CEO, & CCO | (416) 369-6929 |
| Desjardins Securities Inc. | 11/02/2014 | Undated | Sylvain Thériault, Chief Compliance Officer | (514) 281-2346 |
| Deutsche Bank AG Canada Branch | 03/07/2014 | 01/07/2013 | Scott Lampard, President & Chief Executive Officer | (416) 682-8243 |
| Deutsche Bank Securities Limited | 03/07/2014 | 01/07/2013 | Scott Lampard, President & Chief Executive Officer | (416) 682-8243 |
| Dundee Securities Ltd. | 06/18/2013 | 02/2011 | Robert Sellars, Chief Operating Officer & Chief Executive Officer | (416) 350-3057 |
| e3m Investments Inc. | 31/12/2007 | 05/07/2007 | Robert Goldberg, President and Chief Executive Officer & William Oates, CFO | (416) 972-7490 |
| Edward Jones | 11/09/2013 | 09/09/2013 | Doug Bennett, Principal Operations & Services | |
| Emerging Equities Inc. | 28/06/2013 | 14/09/2009 | Senada Russell-Baker, Vice President | (403) 216-9345 |
| Euro Pacific Canada Inc. | 15/08/2013 | Undated | David Cusson, CEO | (416) 933-3349 |
| Fidelity Clearing Canada ULC. | 30/09/2013 | Undated | Thomas White, Chief Operating Officer |
(416) 216-2610 |
| Fin-XO Securities Inc. | 16/08/2013 | 21/06/2010 | Guy Dufresne, 1st Vice President | or Claude Raad (514) 875-5822 |
| FirstEnergy Capital Corp. | 23/11/2013 | 01/01/2011 | Ruby Wallis, Chief Operating Officer | (403) 262-0631 |
| Fonds des professionnels – Gestion privée inc. (French only) | 19/08/2013 | 19/08/2013 | André Sirard, Président et chef de la direction | (514) 350-5169 |
| Foster & Associates Financial Services Inc. | 06/18/2013 | 06/18/2013 | Tony Manning, Vice President, CCO | (416) 369-3189 |
| G-Trade Services LLC | 18/06/2013 | 18/06/2013 | Bea Ordonez, Chief Operating Officer | (212) 237-0434 |
| Global MaxFin Capital Inc. | 22/05/2012 | Undated | Karim Allani, Chief Financial Officer | (416) 642-3531 |
| Global Securities Corporation | 20/06/2013 | 21/09/2007 | Joya Baba, Vice-President, Operations | (604) 443-7069 |
| GMP Securities L.P. | 18/06/2013 | 16/01/2012 | Harris Fricker, CEO | (416) 943-6655 |
| Goldman Sachs Canada Inc. | 28/09/2007 | Undated | Stefano Zuliani, Chief Compliance Officer | (416) 343-8763 |
| Hampton Securities Ltd. | 16/08/2013 | 22/06/2011 | Cheryl de Montigny, Chief Compliance Officer | (416) 862-8654 |
| Haywood Securities Inc. | 22/08/2013 | Undated | Bruce Thompson, Chief Compliance Officer | (604) 697-7105 |
| HSBC Securities (Canada) Inc. | 20/05/2014 | Undated | Michael A. Williams, Chief Operating Officer | (416) 868-3388 |
| Hugues Ouimet et Associes Inc. | 05/10/2007 | Undated | Hugues Ouimet, President | (514) 843-5050 |
| Incapital Canada ULC | 29/10/2013 | Undated | Jehred Ross, Chief Compliance Officer | (416) 507-3660 |
| Industrielle Alliance Valeurs Mobilières inc. (in French only) | 19/06/2013 | 13/01/2012 | Richard Legault, Président | |
| Instinet Canada Limited | 20/08/2013 | Undated | Kenenth J. Klepacki, Chief Operating Officer | (416) 304-6365 |
| Integral Wealth Securities | 26/06/2013 | Undated | Tom Wu, CFO | (416) 203-5845 |
| IPC Securities Corporation | 16/10/2007 | 15/10/2007 | Steve R. Elliott, Vice President, Chief Compliance Officer | (905) 212-0945 |
| ITG Canada Corp. | 31/08/2007 | 28/08/2007 | Nicholas Thadaney, CEO | (416) 874-0830 |
| Jacob Securities | 31/07/2012 | Undated | Sasha Jacob, President and CEO | (416) 866-8304 |
| Jennings Capital Inc. | 25/06/2013 | Undated | Ann McIntosh, Chief Compliance Officer | (416) 304-2194 |
| Jitneytrade Inc. | 28/07/2014 | 27/08/2013 | Jean-François Sabourin, President and CEO | Jean-Francois Sabourin (514) 985-8086 |
| Jones, Gable & Comapny Limited | 15/08/2013 | Undated | Robb Hindson, Chief Financial Officer | (416) 365-8053 |
| Jordan Capital Markets Inc. | 25/11/2013 | Undated | William B. Walker, CCO | (778) 373-4123 |
| J.P. Morgan Securities Canada Inc. | 01/10/2007 | Undated | Sara Collins, Chief Financial Officer | (416) 981-9135 |
| Kernaghan Securities | 24/10/2012 | 17/10/2012 | Sam Collins, President & COO | Mark Van Remortel (647) 497-5716 |
| Kingsdale Capital Markets Inc. | 07/10/2009 | Undated | Anita Tyler, VP Operations/CCO | (416) 867-4563 |
| Laurentian Bank Securities | 15/08/2013 | Undated | Yves Ruest, Vice President, Finance and Administration, Chief Financial Officer, Chief Compliance Officer | (514) 350-3070 |
| Leede Financial Markets Inc. | 26/06/2013 | 08/2007 | Robert Harrison, President & CEO | (604) 658-3265 |
| Lightyear Capital Inc. | 25/11/2013 | Undated | Louise M. Duchesne, Chief Compliance Officer | (403) 218-1409 |
| Liquidnet Canada Inc. | 07/08/2013 | 25/09/2007 | Robert Young, President and Chief Operating Officer | (646) 674-2144 |
| Loewen, Ondaatje, McCutcheon Limited (LOM) | 05/07/2007 | 08/06/2007 | Robert Matthews, ChiefCompliance Officer | Greg Hartman (416) 964-4481 |
| MPartners Inc. | 19/09/2007 | Undated | Johanna O’Reilly, Chief Compliance Officer & VP Operations | (416) 603-7381 ext 231 |
| MacDougall, MacDougall & MacTier Inc. | 21/08/2013 | 20/08/2013 | Noah Billick, General Counsel and Chief Compliance Officer |
(514) 394-3097 or (514) 394-3451 |
| Mackie Research Capital Corporation | 18/06/2013 | Undated | Patrick G. Walsh, CEO | (416) 863-3829 |
| Macquarie Private Wealth Inc. | 19/08/2013 | 09/05/2011 | Daniel Bowering, Chief Compliance Officer | (416) 687-1179 |
| Magna Partners Ltd. | 15/10/2007 | 01/10/2007 | Nick Abe, Chief Compliance Officer | (416) 640-0590 |
| Maison Placements Canada Inc. | 18/06/2013 | 08/2007 | Paul D. Aitkens, Chief Compliance Officer | (416) 947-6068 |
| Manulife Securities Incorporated | 20/02/2014 | 04/02/2014 | Rick Annaert, President & Chief Executive Officer | (905) 469-2100 x283532 |
| McLean & Partners Wealth Management Ltd. | 04/12/2013 | 03/12/2013 | Amanda Bateman,Chief Compliance Officer | (403) 234-6116 |
| MGI Securities Inc. | 25/11/2013 | Undated | James Andrews, CFO | (416) 864-2604 |
| Middlefield Capital Corporation | 25/11/2013 | Undated | W. Garth Jestley, Managing Director and Chief Executive Officer | (416) 847-5347 |
| Morgan Stanley Canada Limited | 16/08/2013 | 26/09/2007 | George Christie, Executive Director, Operations | (416) 943-8330 |
| NBCN Inc. | 16/08/2007 | 28/06/2007 | Yvan Naud, President & CEO | (514) 868-5457 |
| NBF Securities USA Corp. | 06/09/2007 | 27/08/2007 | Alain Legris, Executive Vice-president and Chief Financial Officer | (514) 868-5457 |
| National Banc Financial Inc. | 13/09/2007 | 27/08/2007 | Alain Legris, Executive Vice-president and Chief Financial Officer | (514) 868-5457 |
| National Bank Direct Brokerage Inc. | 13/09/2007 | Undated | Nicolas Milette, President | (514) 868-5457 |
| National Bank Financial Inc. | 08/08/2007 | 28/06/2007 | Yvan Naud, Executive Vice President | (514) 868-5457 |
| National Bank Financial Ltd. | 08/08/2007 | 28/06/2007 | Yvan Naud, Executive Vice President | (514) 868-5457 |
| Newedge Canada Inc. | 25/11/2013 | Undated | Benoit Carignan,Chief Operating Officer | (514) 841-6294 |
| Ocean Securities Inc. | 10/12/2007 | Undated | Robinson Manson, Vice President & CFO | Robinson Manson (902) 423-1131 |
| Octagon Capital Corporation | 06/09/2007 | 07/2007 | Christopher J. Everest, Chief Operating Officer | (416) 304-7833 (416) 306-2552 |
| Odlum Brown Limited | 25/11/2013 | 01/03/2013 | Mary Beck, Vice President Compliance | (604) 844-5301 |
| Paradigm Capital Inc. | 25/11/2013 | 17/08/2007 | Michael Ward, Chief Compliance Officer | |
| PWL Capital Inc. | 28/11/2013 | 27/11/2013 | Michael Simioni, Chief Compliance Officer | (514) 875.7566 x294 |
| Pavilion Global Markets Ltd. | 20/03/2013 | 03/2013 | Douglas J. Simsovic, General Counsel & Chief Compliance Officer | (514) 315-5039 |
| Peters & Co. Ltd. | 25/11/2013 | Undated | Leslee C. Altin, Chief Compliance Officer | (403) 261-2227 |
| Pictet Canada L.P. | 08/07/2013 | 08/07/2013 | David Parsons, Chief Operating Officer & Richard Gaulin, Vice President | (514) 350-6246 |
| PI Financial Corp. | 25/06/2013 | Undated | D. Andrew Murray, Chief Financial Officer | (604) 664-3617 |
| Pollitt & Co. Inc. | 27/09/2007 | 09/2007 | John Christie, CFO | |
| Pope & Company Limited | 09/07/2013 | 07/07/2013 | Adam Kretschmann, Chief Compliance Officer | (416) 593-5535 |
| Qtrade Securities Inc. | 15/08/2013 | Undated | Andy Quin, Vice-President, Operations | (604) 605-4209 |
| Questrade, Inc | 15/08/2013 | Undated | Mike Butcher, Vice President, Operations | (416) 227-9876 x5184 |
| Raymond James Ltd. | 09/08/2013 | 09/08/2013 | Lloyd Costley, Chief Operating Officer | (604) 654-1291 |
| RBC Dominion Securities Inc. (RBC Capital Markets) | 22/06/2007 | 18/04/2007 | Bruce MacDonald, Chief Operating Officer | N/A |
| Royal Bank of Canada | 27/09/2007 | Undated | Bruce MacDonald, Executive Vice President | |
| Richardson GMP Limited | 20/08/2013 | 16/01/2012 | Harris Fricker, CEO | (416) 943-6633 |
| Salman Partners Inc. | 25/11/2013 | Undated | John Mitchell, Vice President and CFO | (604) 622-5562 |
| Scotia Capital Inc. | 27/09/2007 | Undated | Norman K. J. Graham, Senior Vice President Securities Operation | (416) 863-5935 |
| SG Americas Securities LLC | 01/10/2007 | 28/09/2007 | Michael Walsh, Managing Director | (212) 278-4172 |
| Sherbrooke Street Capital (SSC) Inc. | 16/10/2007 | 27/09/2007 | Alberto Galeone, CEO, Treasurerand Director | (514) 937-4226 |
| State Street Global Markets Canada Inc. | 25/06/2013 | Undated | Andrew Carrington, President and CEO | (647) 775-6004 |
| Stifel Nicolaus Canada Inc. | 03/01/2008 | Undated | Lisa Edwards, Vice President and Chief Compliance Officer | (416) 815-0888 |
| Stonecap Securities Inc. | 16/06/2010 | 06/04/2010 | Charlie Pennock, CCO | (416) 342-9940 |
| TD Bank Financial Group | 08/12/2013 | 18/07/2007 | Bob O’Leary, Managing Director | (416) 983-3602 |
| TD Securities Inc. | 08/12/2013 | 12/07/2007 | Bob O’Leary, Managing Director | (416) 983-3602 |
| Toll Cross Securities Inc. | 04/11/2011 | 11/2011 | Marc Bouchard, Compliance Officer | (416) 365-1960 |
| Trapeze Capital Corp. | 19/09/2007 | 17/09/2007 | Randall Abramson, President | (416) 915-0773 |
| UBS Securities Canada Inc. | 25/11/2013 | Undated | James Stuart, COO | |
| W.D. Latimer Co. Limited | 26/06/2013 | 26/07/2007 | Sesto DeLuca, President | (416) 366-0534 |
| Wolverton Securities Ltd. | 16/08/2013 | 09/2007 | Rahim Rajwani, Chief Compliance Officer | (604) 605-6336 |
| Worldsource Securities Inc. | 27/09/2007 | Undated | Caroline Sixsmith, Vice President Operations | (905) 940-0094 |
