The central science

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.

Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Yujie (Jared) Liu and BMO Nesbitt Burns Inc.

Retrieved on: 
月曜日, 4月 22, 2024
Investment, Hearing, The central science, CIRO, Conduct, BMO, Registered representative (securities), Financial adviser

Yujie (Jared) Liu also agreed to pay costs in the amount of $5,000.

Key Points: 
  • Yujie (Jared) Liu also agreed to pay costs in the amount of $5,000.
  • BMO NBI agreed to the following sanctions:
    b)    disgorgement of fees and commissions in the amount of $146,876.
  • BMO NBI agreed to pay costs in the amount of $50,000.
  • Yujie (Jared) Liu was a Registered Representative with BMO NBI from September 2006 until approximately July 2021.

Hearing Notice - IN THE MATTER OF Clive Wilkins - Motion Hearing

Retrieved on: 
金曜日, 4月 19, 2024
CIRO, Exercise, St. Catharines, Investment, The central science, Motion, Respondent

TORONTO, April 19, 2024 /CNW/ - A motion has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Clive Wilkins.

Key Points: 
  • TORONTO, April 19, 2024 /CNW/ - A motion has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Clive Wilkins.
  • The motion is open to the public, unless the hearing panel orders otherwise.
  • The motion relates to a disciplinary proceeding initiated against Clive Wilkins.
  • The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:
    During the period described in the Notice of Hearing, Clive Wilkins conducted business in the St. Catharines, Ontario area.

Hearing Notice - CIRO to Hold a Disciplinary Hearing for Lorne Allison

Retrieved on: 
金曜日, 4月 19, 2024
CIRO, Dealer, Investment, Hearing, The central science

VANCOUVER, BC, April 19, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Lorne Stuart Allison.

Key Points: 
  • VANCOUVER, BC, April 19, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the matter of Lorne Stuart Allison.
  • The decision of the hearing panel will be made available at www.ciro.ca .
  • The hearing concerns allegations that between September 2020 and February 2021, Lorne Allison engaged in securities related business that was not carried on for the account or through the facilities of the Dealer Member.
  • The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
    At all material times, Lorne Allison carried on business in the Vancouver Island, British Columbia area.

PEDEGO UNVEILS 2024 ELECTRIC BIKE MODELS INCLUDING MOTO, CARGO AND FAT TIRE TRIKE

Retrieved on: 
木曜日, 4月 18, 2024
LCD, Cargo, SRAM, The central science, Safety, Moto, Freedom, Corrosion, Trike, Puncture, Overheating, Road

FOUNTAIN VALLEY, Calif., April 18, 2024 /PRNewswire/ -- Pedego, an award-winning brand and the largest chain of electric bike stores in North America, today unveiled the latest additions to their lineup of electric bikes. The three groundbreaking additions—Moto, Cargo, and Fat Tire Trike—set a new standard in safety, quality, performance, and innovation within the e-bike industry.

Key Points: 
  • The three groundbreaking additions—Moto, Cargo, and Fat Tire Trike—set a new standard in safety, quality, performance, and innovation within the e-bike industry.
  • Boasting three fat tires and a low step-through design, the Trike guarantees remarkable stability and offers an easy on-and-off experience.
  • The Fat Tire Trike is available in two configurations; the 10.5Ah Trike retails for $3,495 while the 17.5Ah Trike is available for $3,995.
  • For complete technical specifications and more information on Pedego's latest models of electric bikes, or to find your local authorized Pedego store, visit Pedego.com .

Hearing Notice - CIRO to Hold a Settlement Hearing for Natalie Kiryak

Retrieved on: 
水曜日, 4月 17, 2024
CIRO, Settlement, NS, Hearing, Enforcement, The central science, Investment, Financial adviser

HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Natalie Kiryak.

Key Points: 
  • HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Natalie Kiryak.
  • The hearing will become open to the public if 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, Natalie Kiryak conducted business in the Dartmouth, Nova Scotia area.

CIRO to Hold a Settlement Hearing for Neelgiri Chatterjee

Retrieved on: 
水曜日, 4月 17, 2024
CIRO, NS, Investment, Hearing, Enforcement, The central science

HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Neelgiri Chatterjee.

Key Points: 
  • HALIFAX, NS, April 17, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Funds Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Neelgiri Chatterjee.
  • 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, Neelgiri Chatterjee conducted business in the Halifax, Nova Scotia area.

CIRO Hearing Panel issues their penalty decision in the matter of Paul O'Brian Walker

Retrieved on: 
木曜日, 4月 11, 2024
CIRO, Sale, Exercise, Dealer, Investment, Hearing, The central science, EL, Respondent

The hearing panel's decision dated March 28, 2024, is available at:

Key Points: 
  • The hearing panel's decision dated March 28, 2024, is available at:
    During the period described in the Notice of Hearing, Paul Walker conducted business in the Mississauga, 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.

Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Sam Hsiao-Tse Yang

Retrieved on: 
水曜日, 4月 10, 2024
Investment, Hearing, The central science, AB, CIRO, Conduct, Knowledge

The hearing panel's reasons for decision, dated March 26, 2024, are available at:

Key Points: 
  • The hearing panel's reasons for decision, dated March 26, 2024, are available at:
    In its reasons for decision, the hearing panel confirmed the sanctions imposed on Sam Hsiao-Tse Yang.
  • In particular:
    a)  a fine of $45,000,
    b)  a suspension for nine months,
    c)  a six-month close supervision upon registration with CIRO, and
    d)  a requirement to rewrite of the Conduct and Practices Handbook exam prior to registration with CIRO.
  • The violations occurred while Sam Hsiao-Tse Yang was a Registered Representative with the Edmonton, Alberta branch of RBC Dominion Securities Inc. Sam Hsiao-Tse Yang is not currently working in a registered capacity 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.

Decision Notice - CIRO Sanctions Martin David Hall

Retrieved on: 
水曜日, 4月 10, 2024
CIRO, Settlement, Investment, Enforcement, The central science, NB, Financial adviser

FREDERICTON, NB, April 10, 2024 /CNW/ - On March 6, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules accepted a settlement agreement, with sanctions, between Enforcement Staff and Martin David Hall.

Key Points: 
  • FREDERICTON, NB, April 10, 2024 /CNW/ - On March 6, 2024, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules accepted a settlement agreement, with sanctions, between Enforcement Staff and Martin David Hall.
  • Pursuant to the settlement agreement, Martin Hall agreed to a fine of $17,500 and costs of $2,500.
  • Martin David Hall is not currently 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.