Alert:

MFDA and IIROC websites have been retired.

Alert:

A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.

Enforcement Proceeding Notices

Results:

11/28/24

24-0353

CIRO Sanctions Andrew Kazina

Decision Notice

Rulebook connection

11/28/24

24-0351

CIRO to Hold a Settlement Hearing for Jennifer Nicole Somers

Rulebook connection

11/27/24

24-0352

CIRO to Continue Disciplinary Hearing for Peter Michael Deeb and Hampton Securities Limited

Rulebook connection

11/26/24

24-0347

CIRO Sanctions Robert Russell Weir

Decision Notice

Rulebook connection

11/26/24

24-0350

CIRO Hearing Panel issues Reasons for Decision in the matter of Karen Elisabeth Puzara

Decision Notice

Rulebook connection

11/26/24

24-0348

IN THE MATTER OF Michael Rolland Smith – Adjournment

Rulebook connection

11/25/24

24-0346

CIRO to Hold a Settlement Hearing for Kelly June Hetherington

Rulebook connection

11/22/24

24-0341

CIRO Hearing Panel issues decision in the matter of Antony Kin San Chau

Decision Notice

Rulebook connection

11/22/24

24-0339

CIRO to Hold a Disciplinary Hearing for Sukhjinder Minhas

Rulebook connection

11/20/24

24-0340

CIRO Sanctions Karen Elisabeth Puzara

Decision Notice

Rulebook connection