IN THE MATTER OF Michael Hiram Levine – Registration Review Hearing Decision

18-0082
Type: Registration Review Hearing> Decision

Contact:

Marina Ripoche
Vice President, Registration
Telephone:
Email:

April 13, 2018 (Toronto, Ontario) – On November 2, 2017, the Registration Subcommittee of the Ontario District Council imposed terms and conditions on Michael Hiram Levine’s registration and approval as a Registered Representative with the Investment Industry Regulatory Organization of Canada (IIROC). These terms and conditions required Mr. Levine to complete the Wealth Management Essentials (WME) course within 12 months of registration. Mr. Levine sought a review of that decision by an IIROC Hearing Panel (the Panel).

On February 26, 2018, the Panel granted registration without terms and conditions.

The decision of the Panel is available here, under the Registration Review Hearing Notices section of the IIROC website at www.iiroc.ca

*  *  *

IIROC is the national self-regulatory organization which 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 dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian debt and equity marketplaces.

Welcome to CIRO.ca!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.