VANCOUVER, BC, May 30, 2024 /CNW/ - A hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing under the Investment Dealer and Partially Consolidated Rules in the matter of Randy Bryan Hildebrandt on April 29 – May 2, 2024. The hearing will continue on July 15, 2024.
The hearing concerns allegations that Randy Bryan Hildebrandt failed to adequately perform his role as a gatekeeper to capital markets by failing to make sufficient and reasonable or diligent inquiries in relation to client trading activities.
The hearing is open to the public, unless the panel orders otherwise. The decision of the hearing panel will be made available at www.ciro.ca.
Hearing Date: July 15, 2024 at 10:00 a.m. (Pacific Time)
Location: Veritext Canada, 925 West Georgia Street, #700, Vancouver, British Columbia
Members of the public who would like to obtain further particulars should fill out this questionnaire.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
Hildebrandt, Randy Bryan – Notice of Hearing and Statement of Allegations
The alleged violation occurred while Randy Bryan Hildebrandt was a Registered Representative with a Vancouver branch of PI Financial Corp. where he continues to be employed in a registered 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.
SOURCE Canadian Investment Regulatory Organization (CIRO)
Joanna Nicholson, Manager, Corporate Communications and Public Affairs, [email protected], Phone: 416-943-4640
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