Investment Industry Regulatory Organization of Canada

Hearing Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Martin Danielak

Retrieved on: 
Tuesday, July 11, 2023
The central science, IIROC, Investment Industry Regulatory Organization of Canada, CIRO, Mutual Fund Dealers Association, Conduct, Investment, Respondent, Financial adviser

VANCOUVER, BC, July 11, 2023 /CNW/ - Following an acceptance of a settlement agreement in the matter of Martin Danielak on May 10, 2023, a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) issued their reasons for decision.

Key Points: 
  • VANCOUVER, BC, July 11, 2023 /CNW/ - Following an acceptance of a settlement agreement in the matter of Martin Danielak on May 10, 2023, a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) issued their reasons for decision.
  • Mr. Danielak also agreed to pay costs in the amount of $2,500.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
  • 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.

Hearing Notice - CIRO to Hold a Settlement Hearing for Bart William Hunter

Retrieved on: 
Tuesday, July 11, 2023
The central science, IIROC, Investment Industry Regulatory Organization of Canada, Mutual Fund Dealers Association, Investment, Hearing, Enforcement, CIRO, Financial adviser

SASKATOON, SK, July 11, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff and Bart William Hunter.

Key Points: 
  • SASKATOON, SK, July 11, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff and Bart William Hunter.
  • The hearing is not open to the public, but will become open in the event that the hearing panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the settlement agreement will be made available at www.iiroc.ca .
  • 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 Hearing Panel accepts settlement agreement with Maria Santos

Retrieved on: 
Tuesday, July 11, 2023
Rule, Dealer, Investment Industry Regulatory Organization of Canada, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Settlement, Canadian Securities Institute, Corporation, Investment, Hearing, Ethics, Knowledge, Respondent, CIRO, Financial adviser

TORONTO, July 11, 2023 /CNW/ - A settlement hearing in the matter of Maria Khristine Santos (the "Respondent") was held electronically by videoconference on March 8, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").

Key Points: 
  • TORONTO, July 11, 2023 /CNW/ - A settlement hearing in the matter of Maria Khristine Santos (the "Respondent") was held electronically by videoconference on March 8, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent carried on business in the Winnipeg, Manitoba area.
  • Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.

Hearing Notice/News Release - CIRO to Hold a Settlement Hearing for Red Cloud Securities Inc.

Retrieved on: 
Tuesday, July 11, 2023
Cloud, The central science, IIROC, Investment Industry Regulatory Organization of Canada, Mutual Fund Dealers Association, Investment, Hearing, Enforcement, CIRO, Financial adviser

TORONTO, July 11, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the hearing panel should accept a settlement agreement entered into between Enforcement Staff and Red Cloud Securities Inc.

Key Points: 
  • TORONTO, July 11, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the hearing panel should accept a settlement agreement entered into between Enforcement Staff and Red Cloud Securities Inc.
  • The hearing is not open to the public, but will become open in the event that the hearing panel accepts the settlement agreement.
  • If the agreement is accepted, the panel's decision and the settlement agreement will be made available at www.iiroc.ca .
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.

CIRO Hearing Panel accepts settlement agreement with Susan Cheung

Retrieved on: 
Thursday, June 29, 2023
Dealer, Investment Industry Regulatory Organization of Canada, CIRO, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Former, Settlement, Corporation, Investment, Hearing, Knowledge, Respondent, Financial adviser

TORONTO, June 29, 2023 /CNW/ - A settlement hearing in the matter of Susan Suet Man Cheung (the "Respondent") was held electronically by videoconference on March 20, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").

Key Points: 
  • TORONTO, June 29, 2023 /CNW/ - A settlement hearing in the matter of Susan Suet Man Cheung (the "Respondent") was held electronically by videoconference on March 20, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").
  • During the period described in the Settlement Agreement, the Respondent carried on business in the Toronto, Ontario area.
  • The contraventions reference Mutual Fund Dealer Rules 2.1.1 and 2.1.4(2) which correspond to former MFDA Rules 2.1.1 and 2.1.4.
  • Unless otherwise indicated, the wording of the current Mutual Fund Dealer Rules is the same as the wording of the regulatory requirements that were contravened.

CIRO Hearing Panel accepts settlement agreement with Megan Stokes

Retrieved on: 
Thursday, June 29, 2023
Dealer, Investment Industry Regulatory Organization of Canada, CIRO, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Former, Settlement, Corporation, Investment, Hearing, Knowledge, Respondent, Financial adviser

TORONTO, June 29, 2023 /CNW/ - A settlement hearing in the matter of Megan Lynn Stokes (the "Respondent") was held electronically by videoconference on March 23, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").

Key Points: 
  • TORONTO, June 29, 2023 /CNW/ - A settlement hearing in the matter of Megan Lynn Stokes (the "Respondent") was held electronically by videoconference on March 23, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").
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    A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent carried on business in the Uxbridge, Ontario area.
  • The contraventions reference Mutual Fund Dealer Rules 2.1.1 and 2.1.4(2) which correspond to former MFDA Rules 2.1.1 and 2.1.4.

Investor Alert: GIS Capital and Quantum AI, IIROC Impersonation Schemes

Retrieved on: 
Thursday, June 29, 2023
Investment Industry Regulatory Organization of Canada, Fraud, Research, CIRO, CSA, Canadian Anti-Fraud Centre, IIROC, ID, Cryptocurrency, Financial adviser

TORONTO, June 29, 2023 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by GIS Capital and Quantum AI fraudsters.

Key Points: 
  • TORONTO, June 29, 2023 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by GIS Capital and Quantum AI fraudsters.
  • Neither GIS Capital nor Quantum AI were registered with IIROC and are not members of CIRO.
  • CIRO has noted a spike in advisor and regulator impersonation schemes.
  • In communications with investors, fraudsters claim to be associated with legitimate firms, posing as registered individuals or regulators.

CIRO Hearing Panel accepts settlement agreement with Megha Arora

Retrieved on: 
Wednesday, June 28, 2023
Rule, Investment Industry Regulatory Organization of Canada, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Settlement, Investment, Hearing, Ethics, Knowledge, Respondent, CIRO, Financial adviser

TORONTO, June 28, 2023 /CNW/ - A settlement hearing in the matter of Megha Arora (the "Respondent") was held electronically by videoconference on March 29, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").

Key Points: 
  • TORONTO, June 28, 2023 /CNW/ - A settlement hearing in the matter of Megha Arora (the "Respondent") was held electronically by videoconference on March 29, 2023 in Winnipeg, Manitoba before a three-member Hearing Panel of the Manitoba District Hearing Committee of the Canadian Investment Regulatory Organization ("CIRO").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent carried on business in the Winnipeg, Manitoba area.
  • Canadian Investment Regulatory Organization 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 announces settlement hearing to take place in the matter of Seongho (Steve) Park

Retrieved on: 
Wednesday, June 28, 2023
Tax-free savings account, Investment Industry Regulatory Organization of Canada, CIRO, Notice of Hearing, Mutual Fund Dealers Association, Columbia District, Investment, Notice, Steve Park, Respondent, Financial adviser, Pacific Ocean, Hearing

As the result of a settlement agreement entered into between Staff of CIRO and the Respondent, a settlement hearing will take place electronically by videoconference before a Hearing Panel of the CIRO's British Columbia District Hearing Committee on June 29, 2023, commencing at 10:00 a.m. (Pacific), or as soon thereafter as the matter can be held.

Key Points: 
  • As the result of a settlement agreement entered into between Staff of CIRO and the Respondent, a settlement hearing will take place electronically by videoconference before a Hearing Panel of the CIRO's British Columbia District Hearing Committee on June 29, 2023, commencing at 10:00 a.m. (Pacific), or as soon thereafter as the matter can be held.
  • The subject matter of the proposed settlement agreement concerns matters for which the Respondent may be disciplined pursuant to sections 20 and 24.1 of MFDA By-law No.
  • Settlement hearings of CIRO are typically held in the absence of the public pursuant section 20.5 of MFDA By-Law No.
  • During the period described in the Notice of Hearing, the Respondent conducted business in the North Vancouver, British Columbia area.

CIRO announces settlement hearing to take place in the matter of Roxanne Carter

Retrieved on: 
Monday, June 26, 2023
Investment Industry Regulatory Organization of Canada, CIRO, Notice of Hearing, Mutual Fund Dealers Association, Investment, Notice, Respondent, Financial adviser, Hearing

As the result of a settlement agreement entered into between Staff of CIRO and the Respondent, a settlement hearing will take place electronically by videoconference before a Hearing Panel of CIRO's Ontario District Hearing Committee on June 27, 2023, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be held.

Key Points: 
  • As the result of a settlement agreement entered into between Staff of CIRO and the Respondent, a settlement hearing will take place electronically by videoconference before a Hearing Panel of CIRO's Ontario District Hearing Committee on June 27, 2023, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be held.
  • The subject matter of the proposed settlement agreement concerns matters for which the Respondent may be disciplined pursuant to sections 20 and 24.1 of MFDA By-law No.
  • Settlement hearings of CIRO are typically held in the absence of the public pursuant to section 20.5 of MFDA By-Law No.
  • During the period described in the Notice of Hearing, the Respondent carried on business in the London, Ontario area.