Resolution notification – hearing issues CIRO reasons for the decision on the issue of Henry Griffioine
Torontoand April 29, 2025 / CNW/ – After a settlement session held on March 17, 2025According to the rules of the Joint Investment Funds dealer, a committee of listening to the Canadian Investment Organizational Organization (SeroThe reasons for the decision were issued on it April 15, 2025.
The reasons for the hearing committee are available to the decision:
In the reasons for the decision, the hearing committee found this Henry Griffioine The securities related to the securities that have not been implemented for the account or through the facilities of the agent member are involved by facilitating the sale of earlier notes to customers and another individual and creating wrong notes on an account form and in the regimen of the merchant member.
The hearing committee confirmed a fine 75,000 dollars And the permanent ban of making securities related to the securities in any capacity during employment or related to any of the Ciro merchant supposed to Henry Griffin, according to the settlement agreement.
Henry Griffioine It will also pay costs 5000 dollars.
Violations occurred when Henry Griffioine It was recorded in London, OntarioAs a representative dealing with Quadrus Investments Services Ltd. Henry Griffioine It is currently not registered in the securities industry in any capacity.
Canadian Investment Regulatory Organization (CIRO) is the National Self -Organization Organization that oversees all investment traders, joint investment funds and trading activity on Canada Debt and stock markets. CIRO is committed to protecting investors, providing effective and consistent organization, and building Canadian confidence in financial organization and people who manage their investments. For more information, please visit www.ciro.ca.
All information about disciplinary procedures related to current and previous member companies and individuals registered under Investment dealer and partially unified rules (For investment traders), and The rules of the joint box dealer (For merchants of joint boxes) and Global market safety rules (UMIR) is available on Ciro website.
The basic information related to disciplinary qualifications and history, if any, from consultants who are currently working by CIRO investment companies available for free through Consultant service. Information is available on how to make a merchant, advisor or market complaints by calling 1-877-442-4322.
CIRO has realized the possible misconduct by member companies and individual registered companies. It can bring disciplinary procedures that may lead to penalties including fines, suspension, permanent bars, or expulsion of membership, or terminate rights and privileges for individuals and companies.
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Source Canadian Investment Organization (CIRO)
