VANCOUVER, BC, Nov. 21, 2023 /CNW/ - A hearing has been scheduled to consider whether a hearing panel of the Canadian Investment Regulatory Organization (CIRO) should accept under the Investment Dealer and Partially Consolidated Rules a settlement agreement entered between Enforcement Staff and Leede Jones Gable Inc. (Leede Jones Gable).
The hearing is not open to the public but will become open in the event that the hearing panel accepts the agreement. If the agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca.
Hearing Date: December 5, 2023 at 10:00 am Pacific Time
Location: Vancouver, British Columbia (via 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:
Leede Jones Gable - Notice of Application
Leede Jones Gable is a CIRO-regulated Dealer Member with a head office in Calgary, Alberta, and business locations across Canada, including one in Vancouver, British Columbia.
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) and the Mutual Fund Dealer Rules (for mutual fund dealers) is available in the Enforcement section of the CIRO website.
Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated investment dealers is available free of charge through the AdvisorReport service. Information on how to make investment 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, Public Affairs, [email protected], Phone: 416-943-4640
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