Yahoo Finance Hearing Notice - CIRO to Hold a Disciplinary Hearing for Gordon Keith Nicholson
TORONTO, June 27, 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 in the matter of Gordon Keith Nicholson.
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.
First Appearance Date: July 4, 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 hearing concerns allegations that Gordon Nicholson signed the signatures of 13 clients on 19 account forms and submitted them to the Dealer Member for processing and that he failed to record and maintain evidence of client trade instructions and to take adequate steps to verify the identity of clients and the trade instructions received via email.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
Nicholson, Gordon – Notice of Hearing and Statement of Allegations
At all material times, Gordon Nicholson conducted business with BMO Investments Inc. in Guelph, Ontario. Gordon Nicholson is not currently registered in the securities industry in any 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)
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