Alert:

A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.

Enforcement Proceeding Notices

Results:

11/20/24

24-0331

CIRO Sanctions John Viron

Decision Notice

Rulebook connection

11/20/24

24-0340

CIRO Sanctions Karen Elisabeth Puzara

Decision Notice

Rulebook connection

11/20/24

24-0338

Disciplinary Hearing for Sandly Alteon to Continue

Rulebook connection

11/19/24

24-0335

IN THE MATTER OF Echelon Wealth Partners and Stephen Burns – Motion Decision

Decision Notice

Rulebook connection

11/19/24

24-0337

CIRO Hearing Panel Issues Reasons for Decision on Sanctions in the Matter of Mohammad Movassaghi

Decision Notice

Rulebook connection

11/19/24

24-0336

CIRO to Hold a Settlement Hearing for Jason Adam Beales

Rulebook connection

11/18/24

24-0333

CIRO to Hold an Interim Appearance in the matter of Echelon Wealth Partners and Stephen Burns

Rulebook connection

11/14/24

24-0330

CIRO Sanctions Desjardins Securities Inc.

Decision Notice

Rulebook connection

11/13/24

24-0329

CIRO Hearing Panel issues Reasons for Decision in the matter of Royal Mutual Funds Inc.

Decision Notice

Rulebook connection

11/12/24

24-0325

CIRO to Hold a Settlement Hearing for Emilio Nafarrate

Rulebook connection