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:

11/12/24

24-0326

CIRO to Hold a Disciplinary Hearing for James Hartwell

Rulebook connection

11/12/24

24-0327

CIRO to Hold a Settlement Hearing for John David Lunam

Rulebook connection

11/08/24

24-0323

CIRO Hearing Panel sanctions Ryan Rilloraza Manalang

Decision Notice

Rulebook connection

11/07/24

24-0320

CIRO to Hold a Settlement Hearing for Omar Gouda

Rulebook connection

11/06/24

24-0321

CIRO Sanctions Zahir Hussain Lehri

Decision Notice

Rulebook connection

11/05/24

24-0318

CIRO Hearing Panel issues Reasons for Decision in the matter of RBC Dominion Securities Inc.

Decision Notice

Rulebook connection

11/04/24

24-0317

IN THE MATTER OF Leszek Dziadecki – Review Decision

Decision Notice

Rulebook connection

11/01/24

24-0309

CIRO to Hold a Disciplinary Hearing for James Benjamin Peddle

Rulebook connection

11/01/24

24-0314

CIRO Sanctions Joseph Debus

Decision Notice

Rulebook connection

10/31/24

24-0312

CIRO to Hold an Interim Appearance in the Matter of Sandly Alteon

Rulebook connection