VANCOUVER, BC, Sept. 10, 2024 /CNW/ - On August 12, 2024, Enforcement Staff of the Canadian Investment Regulatory Organization (CIRO) filed a Request for Review to the British Columbia Securities Commission seeking a review of a CIRO hearing panel decision in the matter of Teymur Englesby and Cale Nishimura dated July 22, 2024.
The hearing panel decision is available at:
Re Englesby & Nishimura 2024 CIRO 63
Further information about the review can be found at:
British Columbia Securities Commission
The alleged violations occurred while Teymur Englesby and Cale Nishimura were Registered Representatives with PI Financial Corp., now known as Ventum Financial Corp. Teymur Englesby and Cale Nishimura continue to be employed in a registered capacity with Ventum Financial Corp.
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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