CIRO to Hold a Disciplinary Hearing for James Hartwell

Calgary (Alberta), November 12, 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 Hartwell.

The initial appearance is open to the public unless the hearing panel orders otherwise. The date for the disciplinary hearing will be made available at www.ciro.ca.

Initial Appearance Date: January 8, 2025 at 10:00 am (Mountain Time)

Location: Calgary, Alberta (via videoconference)

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

The hearing concerns allegations that James Hartwell:

• failed to adequately supervise the handling of a client’s accounts by another Registered Representative,
• failed to use due diligence to learn and remain informed of the essential facts relative to the client and to ensure that investment recommendations were suitable for the client,
• attempted to interfere with CIRO Staff’s investigation concerning the accounts, and
• failed to ensure that orders were properly designated for the accounts of an insider.

The Notice of Hearing and Statement of Allegations which set out the allegations are available at:

Hartwell, James – Notice of Hearing and Statement of Allegations

The alleged violations occurred while James Hartwell was the President and Chief Executive Officer, Ultimate Designated Person, Chief Compliance Officer, and a Registered Representative at Emerging Equities Inc. James Hartwell is still employed as a Registered Representative with Emerging Equities Inc., a CIRO-regulated firm in Calgary, Alberta.