IN THE MATTER OF Andrew Kazina – Adjournment

24-0188
Type:
Hearing Notice
Rulebook connection
MFDA Rules

Contact

Winnipeg (Manitoba), June 11, 2024 – A sanctions hearing in the matter of Andrew Kazina scheduled to be heard by a hearing panel of the Canadian Investment Regulatory Organization (CIRO) on June 13, 2024, has been adjourned to a future date to be determined by the panel.

The hearing is open to the public, unless the hearing panel orders otherwise.

The decision of the hearing panel will be made available at www.ciro.ca.

New Hearing Date: To be Determined

Location: Winnipeg, Manitoba, by videoconference

Members of the public who would like to obtain further particulars should fill out this questionnaire.

The hearing panel’s liability decision is available at:

Re Kazina 2023 CIRO 24

The violations occurred while Andrew Kazina conducted business in the Winnipeg, Manitoba area.

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.

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.

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24-0188
Type:
Hearing Notice
Rulebook connection
MFDA Rules

Contact

Other Notices associated with this Enforcement Proceeding: