CIRO

Decision Notice - CIRO Sanctions Patrick Joseph Conlin

Retrieved on: 
火曜日, 5月 7, 2024
CIRO, Dealer, Investment, Hearing, The central science, Financial adviser

a)      a permanent prohibition from conducting securities related business while in the employ of or associated with any Dealer Member of CIRO, and

Key Points: 
  • a)      a permanent prohibition from conducting securities related business while in the employ of or associated with any Dealer Member of CIRO, and
    b)      a fine of $75,000.
  • Patrick Conlin is also required to pay costs in the amount of $10,000.
  • The Notice of Hearing and Statement of Allegations which sets out the allegations are available at:
    The alleged violations occurred while Patrick Conlin was a Registered Representative with the London, Ontario branch of Investors Group Financial Services Inc. Patrick Conlin is no longer a registrant with a CIRO-regulated firm.
  • CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments.

CIRO to Hold a Disciplinary Hearing for James O'Reilly

Retrieved on: 
火曜日, 5月 7, 2024
CIRO, Investment, Hearing, The central science, Financial adviser

TORONTO, May 7, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer and Partially Consolidated Rules to set a date for a disciplinary hearing in the matter of James O'Reilly.

Key Points: 
  • TORONTO, May 7, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer and Partially Consolidated Rules to set a date for a disciplinary hearing in the matter of James O'Reilly.
  • The hearing is open to the public unless the panel orders otherwise.
  • The decision of the hearing panel will be made available at www.ciro.ca .
  • The hearing concerns allegations that James O'Reilly, directly or indirectly through corporate entities, used clients' funds in three real estate development projects, without his Dealer Member's knowledge.

Decision Notice - CIRO hearing panel reserves judgment on penalty in the matter of Joshua Emanuel Mifsud

Retrieved on: 
金曜日, 5月 3, 2024
CIRO, Judgement, Investment, The central science, Halton Hills, Property management

TORONTO, May 3, 2024 /CNW/ - A penalty hearing in the matter of Joshua Emanuel Mifsud was held before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) on April 23, 2024.

Key Points: 
  • TORONTO, May 3, 2024 /CNW/ - A penalty hearing in the matter of Joshua Emanuel Mifsud was held before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) on April 23, 2024.
  • After receiving an Agreed Statement of Facts and hearing submissions from CIRO Staff and Joshua Emanuel Mifsud concerning sanctions, the Hearing Panel reserved judgment and advised that they will issue their decision and written reasons in due course.
  • The Notice of Hearing and Statement of Allegations are available at:
    During the period described in the Notice of Hearing, Joshua Emanuel Mifsud conducted business in the Halton Hills, Ontario, area.
  • CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments.

Hearing Notice - CIRO schedules an interim appearance and a hearing date in the matter of Franco Caligiuri

Retrieved on: 
木曜日, 5月 2, 2024
CIRO, Sale, Dealer, Investment, Hearing, The central science, Financial adviser

VANCOUVER, BC, May 2, 2024 /CNW/ - An interim appearance and a hearing date have been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Franco Caligiuri.

Key Points: 
  • VANCOUVER, BC, May 2, 2024 /CNW/ - An interim appearance and a hearing date have been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Franco Caligiuri.
  • The hearing is open to the public unless the panel orders otherwise.
  • The decision of the hearing panel will be made available at www.ciro.ca .
  • The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
    At all material times, Franco Caligiuri conducted business in the Burnaby, British Columbia area.

Investor Alert: CIRO Impersonators

Retrieved on: 
水曜日, 5月 1, 2024
Internet, Investment, Social media, CIRO, Complaint, WhatsApp, Fraud, CSA, Cryptocurrency

TORONTO, May 1, 2024 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by fraudsters impersonating CIRO to launch investment recovery scams.

Key Points: 
  • TORONTO, May 1, 2024 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by fraudsters impersonating CIRO to launch investment recovery scams.
  • In recent complaints received by CIRO, individuals calling themselves Jason Reid and Yuri Gromov falsely claimed to be CIRO employees.
  • Neither of these individuals are employed by CIRO nor are they registrants of any dealer firm regulated by CIRO.
  • You can also check with CIRO's Complaints & Inquiries team to verify the legitimacy of anyone claiming to represent CIRO.

CIRO to Hold a Settlement Hearing for Sean Joseph Howes

Retrieved on: 
火曜日, 4月 30, 2024
CIRO, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 30, 2024 A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Sean Joseph Howes.

Key Points: 
  • HALIFAX, NS, April 30, 2024 A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Sean Joseph Howes.
  • The hearing will become open to the public in the event that the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Application announcing the settlement hearing is available at:
    At all material times, Sean Howes conducted business in the Halifax, Nova Scotia area.

Investor Alert: Canada Token Trade

Retrieved on: 
火曜日, 4月 30, 2024
Investment, IIROC, CIRO, Complaint, Fraud, CSA, Cryptocurrency

TORONTO, April 30, 2024 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is issuing a warning to Canadian investors regarding Canada Token Trade.

Key Points: 
  • TORONTO, April 30, 2024 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is issuing a warning to Canadian investors regarding Canada Token Trade.
  • Canada Token Trade's website falsely claims membership with the Investment Industry Regulatory Organization of Canada (IIROC), a predecessor of CIRO and the Canadian Investor Protection Fund (CIPF) and illegitimately uses the IIROC and CIPF logos.
  • Investors should be aware that Canada Token Trade has no association with CIRO, IIROC or CIPF, and is not authorized to use their logos or imply any form of regulatory endorsement.
  • CIRO's Office of the Investor publishes information to help investors keep their investments safe and avoid fraud.

CIRO Hearing Panel issues reasons for decision in the matter of Antony Kin San Chau

Retrieved on: 
木曜日, 4月 25, 2024
CIRO, Investment, Hearing, The central science, Disclosure, Financial adviser

The hearing panel's decision dated April 16, 2024, is available at:

Key Points: 
  • The hearing panel's decision dated April 16, 2024, is available at:
    During the period described in the Notice of Hearing, Antony conducted business in the Richmond Hill, Ontario, area.
  • Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated investment firms is available free of charge through the AdvisorReport service.
  • The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.
  • CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments.

Hearing Notice - CIRO to Hold a Settlement Hearing for Gregory Rice

Retrieved on: 
月曜日, 4月 22, 2024
CIRO, Settlement, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 22, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Gregory Rice.

Key Points: 
  • HALIFAX, NS, April 22, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Gregory Rice.
  • The hearing will become open to the public in the event that the panel accepts the settlement agreement.
  • If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca .
  • The Notice of Settlement Hearing announcing the settlement hearing is available at:
    At all material times, Gregory Rice conducted business in Berwick, Nova Scotia.

CIRO to Hold a Disciplinary Hearing for Antony Kin San Chau

Retrieved on: 
月曜日, 4月 22, 2024
CIRO, Hearing, The central science, Investment, Respondent

TORONTO, April 22, 2024 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to set a date for a disciplinary hearing in the matter of Antony Kin San Chau.

Key Points: 
  • TORONTO, April 22, 2024 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to set a date for a disciplinary hearing in the matter of Antony Kin San Chau.
  • The date for the disciplinary hearing will be made available at www.ciro.ca .
  • The Notice of Hearing and Statement of Allegations which set out the allegations are available at:
    During the period described in the Notice of Hearing, Antony Chau conducted business in the Richmond Hill, Ontario area.
  • Antony Chau is no longer registered in the securities industry in any capacity.