Enforcement Notice - Hearing - IN THE MATTER OF Shirley Locke - Appeal Requested

HALIFAX, NS, Aug. 24, 2021 /CNW/ - On August 5, 2021, Shirley Locke filed a Notice of Appeal with the Nova Scotia Court of Appeal (NSCA), seeking an appeal of the decision of the Nova Scotia Securities Commission (NSSC) dated June 24, 2021, regarding IIROC Hearing Panel Decisions dated May 28, 2020, August 7, 2020, and August 8, 2020.

The NSCA will schedule a date for the appeal.

The NSSC decision and order can be found at:

Nova Scotia Securities Commission - Locke, Shirley

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IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website. Documents related to ongoing IIROC enforcement proceedings – including Reasons and Decisions of Hearing Panels – are posted as they become available.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of 175 Canadian investment dealer firms of varying sizes and business models, and their more than 30,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces.

SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News

Enforcement Contact: Charles Corlett, Vice President, Enforcement, 416 646-7253, [email protected]; Media Contact: Evelyn Tchakarov, Public Affairs Specialist, [email protected]

Related Links

www.iiroc.ca