Coup d'État: A Practical Handbook

Hearing Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Louis Desprès

Retrieved on: 
Tuesday, October 31, 2023

The hearing panel's decision dated October 6, 2023, is available at:

Key Points: 
  • The hearing panel's decision dated October 6, 2023, is available at:
    In its reasons for decision, the hearing panel confirmed the sanctions imposed on the respondent.
  • Mr. Desprès is also required to pay costs in the amount of $2,000.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
  • 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 Sanctions Louis Desprès

Retrieved on: 
Friday, September 22, 2023

MONTRÉAL, Sept. 22, 2023 /CNW/ - On September 12, 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 Louis Desprès.

Key Points: 
  • MONTRÉAL, Sept. 22, 2023 /CNW/ - On September 12, 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 Louis Desprès.
  • Mr. Desprès admitted that between March 2017 and December 2019, he failed to ensure that the recommendations he made for the accounts of one of his clients were suitable for that client.
  • Mr. Desprès also agreed to pay costs in the amount of $2,000.
  • 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 Sanctions Dominic Spooner

Retrieved on: 
Wednesday, August 9, 2023

To facilitate those transactions, Mr. Spooner signed the firm's Finder's Fee and Non-Circumvention Agreement, which he was not authorized to sign on behalf of the firm.

Key Points: 
  • To facilitate those transactions, Mr. Spooner signed the firm's Finder's Fee and Non-Circumvention Agreement, which he was not authorized to sign on behalf of the firm.
  • The hearing panel imposed the following sanctions on Mr. Spooner:
    a)      bar from registration with CIRO for two years;
    c)       disgorgement of commissions of $35,500;
    d)      successful completion of the Conduct and Practices Handbook course; and
    e)    a 12-month strict supervision upon registration with CIRO.
  • The hearing panel directed the parties to make submissions on costs, which will be determined separately.
  • 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 Hearing Panel issues Reasons for Decision in the matter of Bart William Hunter

Retrieved on: 
Tuesday, August 8, 2023

The hearing panel's reasons for decision, dated July 20, 2023, are available at:

Key Points: 
  • The hearing panel's reasons for decision, dated July 20, 2023, are available at:
    In its reasons for decision, the hearing panel confirmed the sanctions imposed on the Respondent.
  • The Respondent is also required to pay costs in the amount of $5,000.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
  • 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 Sanctions Bart William Hunter

Retrieved on: 
Wednesday, July 26, 2023

SASKATOON, SK, July 26, 2023 /CNW/ - On July 14, 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 Bart William Hunter.

Key Points: 
  • SASKATOON, SK, July 26, 2023 /CNW/ - On July 14, 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 Bart William Hunter.
  • Mr. Hunter admitted that he failed in his obligations regarding the proper execution of client documents.
  • Mr. Hunter 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.

Introducing "Shut up and Clap!" A Must-read Handbook for Supporting Student Athletes

Retrieved on: 
Thursday, July 20, 2023

A Practical Handbook for Supporting Student Athletes now available on Reel Scene Sports Media .

Key Points: 
  • A Practical Handbook for Supporting Student Athletes now available on Reel Scene Sports Media .
  • This groundbreaking book offers a fresh and engaging perspective on the world of youth sports, providing readers with real-life experiences, expert advice, and actionable strategies.
  • Eye-Opening Statistics and Realistic Expectations: By shedding light on the statistical realities of student athletes' paths to professional sports, George helps parents develop realistic expectations.
  • Understanding these statistics is essential for parents to ensure their child's sports experience is focused on personal growth, skill development, and overall enjoyment.

Enforcement Notice - Decision - New SRO Sanctions Martin Danielak

Retrieved on: 
Tuesday, May 16, 2023

VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.

Key Points: 
  • VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.
  • Mr. Danielak also agreed to pay costs in the amount of $2,500.
  • This case was resolved by Early Resolution Offer, which granted a 30% reduction on the fine Enforcement Staff otherwise would have sought.
  • The Settlement Agreement is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Danielak's conduct in June 2020.

Enforcement Notice - Decision - 23-0068 - New SRO Sanctions Patrick Poulin

Retrieved on: 
Thursday, May 11, 2023

Mr. Poulin will also pay costs in the amount of $10,000.

Key Points: 
  • Mr. Poulin will also pay costs in the amount of $10,000.
  • The Investment Dealer Division of New SRO formally initiated the investigation into Mr. Poulin's conduct in May 2022.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

New SRO Sanctions Lee Fraser Harwood

Retrieved on: 
Thursday, April 27, 2023

Mr. Harwood also agreed to pay costs in the amount of $5,000.

Key Points: 
  • Mr. Harwood also agreed to pay costs in the amount of $5,000.
  • The Settlement Agreement is available at:
    The Investment Dealer Division of New SRO formally initiated the investigation into Lee Fraser Harwood's conduct in May 2020.
  • New SRO investigates possible misconduct by its member firms and individual registrants.
  • It can bring disciplinary proceedings which may result in sanctions including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

Enforcement Notice - Decision - 22-0158 - IIROC Sanctions Neil DiCostanzo

Retrieved on: 
Thursday, October 6, 2022

The decision on Liability can be found at:

Key Points: 
  • The decision on Liability can be found at:
    IIROC formally initiated the investigation into Mr. DiCostanzo's conduct in May 2018.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.
  • IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets.
  • IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets.