Ellen J. Bessner

Bad behaviour

(May 2006) When faced with a charge from a regulator, advisors tend to be most concerned about the prospect of losing their licences. Although penalties really depend on the severity of the infraction, the IDA’s disciplinary guidelines confirm that almost every infraction contemplates the possibility of a permanent ban or suspension. The MFDA does not […]

By Ellen J. Bessner |May 23, 2006

3 min read

Planning and Advice

Bleaching out breach

(March 2006) Though they often make great business sources, mixing friends and family with your practice requires caution. You’re mistaken to believe these trusted clients might never consider launching a complaint against you, when in fact some of these relationships have been known to display a dark side — especially visible if the client loses […]

By Ellen J. Bessner |March 28, 2006

3 min read

Planning and Advice

Do not go quietly…

(March 2005) My legal practice consists of representing advisors and dealers in litigation and regulatory matters, as well as employment law. So, when an employment case recently landed on my desk, I became excited. The issue involved a dispute between advisors and a branch manager from RBC Dominion Securities in Cranbrook, B.C., who, in 2000, […]

By Ellen J. Bessner |March 18, 2005

3 min read