Indian Residential Schools Settlement Agreement

CIRO Hearing Panel accepts settlement agreement with Maria Santos

Retrieved on: 
Tuesday, July 11, 2023

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.

CIRO Hearing Panel accepts settlement agreement with Susan Cheung

Retrieved on: 
Thursday, June 29, 2023

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

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.

CIRO Hearing Panel accepts settlement agreement with Megha Arora

Retrieved on: 
Wednesday, June 28, 2023

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.

Hearing Notice - CIRO Sanctions Craig Bishop

Retrieved on: 
Friday, June 23, 2023

CALGARY, AB, June 23, 2023 /CNW/ - On June 21, 2023, a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement, with sanctions, between Enforcement Staff and Craig Bishop.

Key Points: 
  • CALGARY, AB, June 23, 2023 /CNW/ - On June 21, 2023, a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement, with sanctions, between Enforcement Staff and Craig Bishop.
  • Mr. Bishop admitted that he failed to comply with his duty to protect the financial markets.
  • Mr. Bishop also agreed to pay costs in the amount of $5,000.
  • 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.

New SRO Hearing Panel accepts settlement agreement with Charles Hogg

Retrieved on: 
Friday, June 2, 2023

TORONTO, June 2, 2023 /CNW/ - A settlement hearing in the matter of Charles Leigh Hogg (the "Respondent") was held electronically by videoconference on May 16, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").

Key Points: 
  • TORONTO, June 2, 2023 /CNW/ - A settlement hearing in the matter of Charles Leigh Hogg (the "Respondent") was held electronically by videoconference on May 16, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").
  • 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 Kitchener, Ontario area.
  • New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.

CUPW announces settlement agreement related to Libel Action against B'nai Brith Canada

Retrieved on: 
Wednesday, May 24, 2023

OTTAWA, ON, May 24, 2023 /CNW/ - The Canadian Union of Postal Workers (CUPW) announced today that it has entered into an agreement to settle (the "Settlement Agreement") the action of CUPW v B'nai Brith Canada et al., that is currently pending in the Ontario Superior Court of Justice (the "Action").

Key Points: 
  • OTTAWA, ON, May 24, 2023 /CNW/ - The Canadian Union of Postal Workers (CUPW) announced today that it has entered into an agreement to settle (the "Settlement Agreement") the action of CUPW v B'nai Brith Canada et al., that is currently pending in the Ontario Superior Court of Justice (the "Action").
  • The Action concerns two articles which were published by B'nai Brith Canada and the other defendants in the summer of 2018, which CUPW states contained several false and defamatory statements.
  • Pursuant to the Settlement Agreement, CUPW will receive an undisclosed amount in lieu of damages and the offending publications will be removed from the B'nai Brith website.
  • B'nai Brith Canada has apologized for the harm these publications may have caused CUPW and its members.

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the 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 .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the 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 .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - New SRO to Hold a Settlement Hearing for Robert Barber

Retrieved on: 
Thursday, May 18, 2023

The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.

Key Points: 
  • The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.
  • The hearing is not open to the public, but will become open in the event that the 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 Investment Dealer Division of New SRO formally initiated the investigation into Barber's conduct in April 2019.