Vancouver (British Columbia), September 7, 2023 – On August 21, 2023, Dominic Spooner filed a Request for Review to the British Columbia Securities Commission, seeking a review of a CIRO hearing panel decision on liability and penalty dated July 23, 2023.
The decision under review is available at:
Further information about the review can be found at:
British Columbia Securities Commission – Hearings
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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/or 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.
Other Notices associated with this Enforcement Proceeding:
11/11/22IIROC to Hold Disciplinary Hearing for Dominic SpoonerType: Enforcement NoticeSubtype: Hearing
12/02/22IIROC to Hold Disciplinary Hearing for Dominic SpoonerType: Enforcement NoticeSubtype: Hearing
08/09/23CIRO Sanctions Dominic SpoonerType: Enforcement NoticeSubtype: Decision