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.
Hearings
Disciplinary and other regulatory matters brought by CIRO Enforcement against individual advisors and firms are heard by panels composed of Hearing Committees’ members (Hearing Panels). Hearing Committees’ members are independent adjudicators, who hear and decide on CIRO disciplinary and regulatory matters in 10 Districts.
The Hearings Office plays a neutral role in the hearing process. It administers all hearing related matters, including the selection of hearing panels, care and distribution of hearing documents, and maintenance of hearing records.
The Hearings Office is independent of parties to proceedings, including Enforcement Staff, and acts as the liaison between the parties and hearing panels. Outside of a hearing room, all communications between the parties to proceedings and hearing panels must go through the Hearings Office.
General questions relating to the hearing process can be answered by members of the Hearings Office. The Hearings Office does not provide legal advice.
The Hearings Office can be reached at [email protected] or 416-943-5846.
The Hearings Office’s mailing address is:
Canadian Investment Regulatory Organization
Hearings Office
Suite 2600, 40 Temperance Street
Toronto, Ontario, M5H 0B4
Updates
CIRO Hearing Committees hear disciplinary matters in-person, videoconference and hybrid hearings. Members of the public and media can observe public proceedings by contacting the Hearings Office at [email protected] or filling out this questionnaire.
Hearing Calendar
| In the Matter of | Will Take Place | Date and Time |
|---|---|---|
| John David Lunam | British Columbia – Via Videoconference – Register to attend a hearing | November 20, 2024 at 10:00 a.m. PST |
| Jason Adam Beales | Ontario – Via Videoconference – Register to attend a hearing | November 25, 2024, 10:00 a.m. EST |
| Emilio Nafarrate | Ontario – Via Videoconference – Register to attend a hearing | November 26, 2024, 11:00 a.m. EST |
| Echelon Wealth Partners & Stephen Burns | Ontario – Via Videoconference – Register to attend a hearing | December 2, 2024, 10:00 a.m. EST |
| Omar Gouda | Québec – Via Videoconference – Register to attend a hearing | December 4, 2024, 9:00 a.m. EST |
| Sandly Alteon | Ontario – Via Videoconference – Register to attend a hearing | December 10, 2024, 10:00 a.m. EST |
| James Benjamin Peddle | Newfoundland and Labrador – Via Videoconference – Register to attend a hearing | December 12, 2024, 11:00 a.m. AST |
| James Hartwell | Alberta – Via Videoconference – Register to attend a hearing | January 8, 2025, 10:00 a.m. MST |
| James O’Reilly | Ontario – Via Videoconference – Register to attend a hearing | January 20, 2025, 10:00 a.m. EST |
| Echelon Wealth Partners & Stephen Burns | Ontario – In-Person – Register to attend a hearing | February 3 - 7 and 10 - 14, 2025 |
| Matthew Philip Ewing | Ontario – In-Person – Register to attend a hearing | February 18 – 28, 2025 at 10:00 am EST |
| Franco Caligiuri | British Columbia – Via Videoconference – Register to attend a hearing | March 3 - 5, 2025, 10:00 a.m. PST |
| Henry Griffioen | Ontario – Via Videoconference – Register to attend a hearing | March 17 - 25, 2025, 10:00 a.m. EST |
Enforcement Proceedings
You may search all CIRO ongoing and closed enforcement cases under Enforcement Proceedings.