Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
IN THE MATTER OF Darren Carrigan – Motion Hearing
24-0240
Type:
Hearing Notice
Rulebook connection
IDPC Rules
Contact
Toronto (Ontario), August 6, 2024 – A motion brought by Darren Carrigan has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer and Partially Consolidated Rules.
The motion 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.
Motion Date: August 22, 2024 at 10:00 am (Eastern Time)
Location: Toronto (Ontario) by videoconference
Members of the public, who would like to obtain further particulars, should fill out this questionnaire.
The motion is to determine if a hearing panel has jurisdiction to stay CIRO’s investigation and disciplinary proceeding against Darren Carrigan and, if so, to stay CIRO’s proceedings and other relief.
Darren Carrigan was a Registered Representative with Dominick Capital Corporation from 2016 to 2019 and Gravitas Securities Inc. from 2019 to 2023. He is not currently employed with a CIRO-regulated firm.
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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24-0240
Type:
Hearing Notice
Rulebook connection
IDPC Rules