Contact
Toronto (Ontario), March 14, 2024 – An initial appearance 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 initial appearance is open to the public unless the hearing panel orders otherwise. The date of the disciplinary hearing will be made available at www.ciro.ca.
Initial Appearance Date: April 24, 2024 at 10:00 am (Eastern Time)
Location: Toronto, Ontario (by videoconference)
Members of the public, who would like to obtain further particulars, should fill out this questionnaire.
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.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
O’Reilly, James – Notice of Hearing and Statement of Allegations
The alleged violations occurred while James O’Reilly was a Registered Representative with Assante Capital Management Inc. James O’Reilly is no longer a registrant with a CIRO-regulated firm.
All information about disciplinary proceedings relating to current and former member firms and individual registrants under the Investment Dealer and Partially Consolidated Rules (for investment dealers), the Mutual Fund Dealer Rules (for mutual fund dealers) and the Universal Market Integrity Rules (UMIR) is available on CIRO's website.
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. Information on how to make dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
CIRO 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.
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. For more information, visit www.ciro.ca.
-30-