Toronto (Ontario), November 7, 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 Robert Weston Crocker.
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: December 18-21, 2023
Location: CIRO offices
121 King Street West, Suite 2000
British Columbia Boardroom
The hearing concerns allegations that, between April 2020 and December 2020, Robert Weston Crocker:
- failed to learn and remain informed of the essential facts relative to a client by completing Know Your Client information that he knew was inaccurate and
- completed purchases of private placements for a client which were not “pro” eligible when he knew that the client’s account should have been, but was not, marked as “pro”.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
The alleged violations occurred while the respondent was a Registered Representative with the Toronto branch of Canaccord Genuity Corp. Mr. Crocker is no longer a registrant with a CIRO-regulated firm.
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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 sanctionsincluding 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.
Other Notices associated with this Enforcement Proceeding:
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