IIROC to Hold Disciplinary Hearing for Former Burlington Investment Advisor Daniel George Gordon

21-0154
Type: Enforcement Notice> Hearing

Contact:

Charles Corlett
Vice-President, Enforcement
Telephone:
Email:
Evelyn Tchakarov
Public Affairs Specialist
Email:

September 1, 2021 (Toronto, Ontario) – An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) to set a date for the disciplinary hearing in the matter of Daniel George Gordon.

The discipline hearing concerns allegations that:

  1. Between March 2016 and March 2020, Mr. Gordon engaged in an outside business activity without informing and without the approval of his Dealer Member, contrary to Dealer Member Rule 18.14 and Consolidated Rule 1400 (prior to September 1, 2016, Dealer Member Rule 29.1); and
  2. Between March 2016 and March 2020, Mr. Gordon engaged in personal financial dealings with a client, contrary to Dealer Member Rule 43.

IIROC formally initiated the investigation into Mr. Gordon's conduct in April 2020. The alleged violations occurred while he was a Registered Representative with the Burlington branch of Harbourfront Wealth Management Inc., an IIROC-regulated firm. Mr. Gordon is no longer a registrant with an IIROC-regulated firm.

The set date appearance is open to the public, unless the Hearing Panel orders otherwise. Members of the public who would like to attend the hearing may contact IIROC's National Hearing Officer at [email protected] in advance of the hearing to obtain further details.  The date for the discipline hearing will be made available at www.iiroc.ca.

Set Date Appearance:  Will be held by way of videoconference on September 30, 2021, at 10:00 a.m.

The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:

Gordon, Daniel George - Notice of Hearing and Statement of Allegations

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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.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of 175 Canadian investment dealer firms of varying sizes and business models, and their more than 30,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

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Other Notices associated with this Enforcement Proceeding: