IN THE MATTER OF Leszek Dziadecki – Review Decision

24-0317
Type:
Decision Notice
Rulebook connection
MFDR

Contact

Toronto (Ontario), November 4, 2024 – The decisions of a hearing panel of the Canadian Investment Regulatory Organization (CIRO) made under the Mutual Fund Dealer Rules in the matter of Leszek Dziadecki dated May 16, 2023, and January 30, 2024 (with reasons issued in September 2023 and March 2024, respectively), were reviewed by the Capital Markets Tribunal.

The CIRO reasons for decision (misconduct) is available at:

Dziadecki, Leszek

The CIRO reasons for decision (penalty) is available at:

Dziadecki, Leszek

The Capital Markets Tribunal concluded that the CIRO decisions should not be set aside, confirmed the CIRO decisions and dismissed Leszek Dziadecki’s application. The Capital Markets Tribunal released its reasons and decision on October 23, 2024.

Capital Markets Tribunal

The misconduct occurred while Leszek Dziadecki conducted business in the Mississauga, Ontario area.

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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24-0317
Type:
Decision Notice
Rulebook connection
MFDR

Contact

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