Vancouver (British Columbia), December 28, 2023 – On December 1, 2023, Dominic Spooner withdrew his request for a hearing and review to the British Columbia Securities Commission of the decision of the hearing panel of the Canadian Investment Regulatory Organization (CIRO) on liability and penalty dated July 23, 2023.
The CIRO hearing panel decision is available at:
Further information about the review can be found at:
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All information about disciplinary proceedings relating to current and former member firms and individual registrants under the Investment Dealer and Partially Consolidated Rules (for investment dealers), the Mutual Fund Dealer Rules (for mutual fund dealers) and the Universal Market Integrity Rules (UMIR) is available on CIRO's website.
Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated investment firms 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
09/07/23IN THE MATTER OF Dominic Spooner – Review RequestedType: Enforcement NoticeSubtype: Hearing
12/05/23CIRO Hearing Panel Issues a Decision on Costs in the Matter of Dominic SpoonerType: Enforcement NoticeSubtype: Decision