TORONTO, Oct. 1, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement entered into between Enforcement Staff and Karen Elisabeth Puzara.
The hearing will become open to the public in the event that the panel accepts the settlement agreement. If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca.
Settlement Hearing Date: November 8, 2024, at 10:00 am (Eastern Time)
Location: Toronto, Ontario by videoconference
Members of the public who would like to obtain further particulars should fill out this questionnaire.
The Notice of Application announcing the settlement hearing is available at:
Puzara, Karen - Notice of Application
At all material times, Karen Puzara conducted business at HollisWealth Advisory Services Inc. in the London, Ontario area. Karen Puzara continues to be employed within the industry in a registered capacity, currently with Investia Financial Services Inc.
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)
Kate Morris, Senior Corporate Communications and Public Affairs Specialist, [email protected], Phone: 416-943-4640
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