Decision Notice - CIRO Hearing Panel Issues Decision and Reasons on Costs in the Matter of John Moody

CALGARY, AB, Feb. 14, 2024 /CNW/ - A hearing panel of the Canadian Investment Regulatory Organization (CIRO) has issued a decision and reasons on costs in the matter of John Dixon Moody. The hearing panel's Reasons for Decision on Sanction issued on December 1, 2023 is available at Re Moody CIRO 32.

Based on written submissions on costs from the parties, the hearing panel ordered John Dixon Moody to pay $3,000 in costs, in addition to the sanction imposed on June 21, 2023, and confirmed in the Reasons for Decision on Sanction.

The hearing panel's decision and reasons on costs, dated February 12, 2024, is available at:

Re Moody 2024 CIRO 23

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.

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.

SOURCE Canadian Investment Regulatory Organization (CIRO)

Joanna Nicholson, Manager, Corporate Communications and Public Affairs, [email protected], Phone: [phone]