Montréal (Québec), September 13, 2023. - An appearance has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) for the purpose of setting a date for a disciplinary hearing in the matter of Lucie Roland.
The set date appearance is open to the public unless the Hearing Panel orders otherwise. The date for the discipline hearing will be made available at www.iiroc.ca.
Set Date Appearance: October 26, 2023, at 9:30 a.m. (Eastern Time)
Location: Montréal (Québec), by videoconference
To attend the hearing, members of the public must register by filling out this form.
The hearing concerns allegations that Ms. Roland engaged in conduct unbecoming when she facilitated unauthorized transfers of funds to third parties from the accounts of three clients.
The Notice of Hearing and Statement of Allegations is available at:
The violations occurred while the Respondent was an assistant at a Montréal branch of National Bank Financial Inc., a CIRO-regulated firm. The Respondent is no longer a registrant of CIRO.
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All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website (for investment dealer disciplinary proceedings) and the MFDA website (for mutual fund dealer disciplinary proceedings).
Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated firms (Investment Dealer Division) 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.