Vancouver (British Columbia), September 5, 2023 – A hearing has been scheduled before a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) in the matter of Randy Bryan Hildebrandt.
The hearing is open to the public unless the hearing panel orders otherwise. The decision of the hearing panel will be made available at www.iiroc.ca.
Hearing Dates: April 29 - May 3, 2024 at 10:00 a.m. Pacific Time
Location: Veritext Canada, 925 West Georgia Street, #700, Vancouver, British Columbia
The hearing concerns allegations that Mr. Hildebrandt failed to adequately perform his role as a gatekeeper to capital markets by failing to make sufficient and reasonable or diligent inquires in relation to client trading activities.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
Hildebrandt, Randy Bryan – Notice of Hearing and Statement of Allegations
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All information about disciplinary proceedings relating to current and former member firms and individual registrants 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.