Hearings
Disciplinary and other regulatory matters brought by CIRO Enforcement against individual advisors and firms are heard by panels composed of Hearing Committees’ members (Hearing Panels). Hearing Committees’ members are independent adjudicators, who hear and decide on CIRO disciplinary and regulatory matters in 10 Districts.
The Hearings Office plays a neutral role in the hearing process. It administers all hearing related matters, including the selection of hearing panels, care and distribution of hearing documents, and maintenance of hearing records.
The Hearings Office is independent of parties to proceedings, including Enforcement Staff, and acts as the liaison between the parties and hearing panels. Outside of a hearing room, all communications between the parties to proceedings and hearing panels must go through the Hearings Office.
General questions relating to the hearing process can be answered by members of the Hearings Office. The Hearings Office does not provide legal advice.
The Hearings Office can be reached at [email protected] or 416-943-5846.
The Hearings Office’s mailing address is:
Canadian Investment Regulatory Organization
Hearings Office
Suite 2600, 40 Temperance Street
Toronto, Ontario, M5H 0B4
Updates
CIRO Hearing Committees hear disciplinary matters in-person, videoconference and hybrid hearings. Members of the public and media can observe public proceedings by contacting the Hearings Office at [email protected] or filling out this questionnaire.
Hearing Calendar
| In the Matter of | Will Take Place | Date and Time |
|---|---|---|
| Michael Rolland Smith | Nova Scotia – Via Videoconference – Register to attend a hearing | January 17, 2025, 10:00 am AST |
| Jennifer Somers | Ontario – Via Videoconference – Register to attend a hearing | January 17, 2025, 10:00 am EST |
| James O’Reilly | Ontario – Via Videoconference – Register to attend a hearing | January 20, 2025, 10:00 a.m. EST |
| Jacquelin Hodge | Alberta – Via Videoconference – Register to attend a hearing | January 22, 2025, 10:00 a.m. MST |
| Jason Andrew Gold | Ontario – Via Videoconference – Register to attend a hearing | January 23, 2025, 10:00 a.m. EST |
| Kelly June Hetherington | Ontario – Via Videoconference – Register to attend a hearing | January 29, 2025, 10:00 a.m. EST |
| Ken Kin Kit Lui and Devina Master | Ontario – Via Videoconference – Register to attend a hearing | February 4, 2025, 10:00 am EST |
| Matthew Philip Ewing | Ontario – In-Person – Register to attend a hearing | February 18 – 28, 2025 at 10:00 am EST |
| Lance Garrett Henry Dueck | Saskatchewan – Via Videoconference – Register to attend a hearing | February 21, 2025 at 10:00 a.m. CST |
| Leander Don Dueck | Saskatchewan – Via Videoconference – Register to attend a hearing | February 21, 2025 at 11:30 a.m. CST |
| Abram Toews | Saskatchewan – Via Videoconference – Register to attend a hearing | February 21, 2025 at 2:00 p.m. CST |
| Franco Caligiuri | British Columbia – Via Videoconference – Register to attend a hearing | March 3 - 5, 2025, 10:00 a.m. PST |
| William Robert Hall | Alberta – In-Person – Register to attend a hearing | April 2-4, 2025 at 10:00 a.m. MST |
| Echelon Wealth Partners & Stephen Burns | Ontario – In-Person – Register to attend a hearing | June 16-20 and 23-27, 2025 at 10:00 a.m. EST |
| James Benjamin Peddle | Newfoundland and Labrador – In-Person – Register to attend a hearing | September 9-12, 2025 at 10:00 a.m. AST |
Enforcement Proceedings
You may search all CIRO ongoing and closed enforcement cases under Enforcement Proceedings.