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CIRO to Hold an Initial Appearance for Matthew Philip Ewing
24-0267
Type:
Hearing Notice
Rulebook connection
IDPC Rules
Contact
Toronto (Ontario), September 18, 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 in the matter of Matthew Philip Ewing.
The initial appearance is open to the public unless the hearing panel orders otherwise. The date for the disciplinary hearing will be made available after the initial appearance at www.ciro.ca.
Initial Appearance Date: September 26, 2024 at 10:00 am Eastern Time
Location: Toronto, Ontario (via videoconference)
Members of the public, who would like to obtain further particulars, should fill out this questionnaire.
The disciplinary proceeding includes allegations that Matthew Philip Ewing:
- falsified the portfolio overview documents of two related clients,
- engaged in personal financial dealings with six clients, including loans and compensation for losses and commissions, and
- engaged in discretionary trading in several client accounts.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
Ewing, Matthew Philip – Notice of Hearing and Statement of Allegations
At all material times, Matthew Philip Ewing conducted business with RBC Dominion Securities Inc. and National Bank Financial in Ontario. He is not currently registered in the securities industry in any capacity.
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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24-0267
Type:
Hearing Notice
Rulebook connection
IDPC Rules