September 28, 2022 (Moncton, New Brunswick) – On August 26, 2022, Paul Maurice filed an application with the Financial and Consumer Services Tribunal (FCST) for review of the liability decision rendered on July 29, 2022 by an IIROC Hearing Panel. The application will be heard by the FCST in due course.
A penalty hearing has been scheduled before an IIROC Hearing Panel on October 31, 2022 in this matter.
The liability decision under review is available at:
Further information about the FCST can be found at:
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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 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.
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 174 Canadian investment dealer firms of varying sizes and business models, and their more than 32,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. For more information, visit www.iiroc.ca.
Other Notices associated with this Enforcement Proceeding:
10/29/21IIROC Begins Disciplinary Action for New-Brunswick Investment Advisor Paul MauriceType: Enforcement NoticeSubtype: Hearing
01/07/22IIROC Will Hold a Disciplinary Hearing in the Matter of New Brunswick Investment Advisor Paul MauriceType: Enforcement NoticeSubtype: Hearing
08/08/22IIROC Hearing Panel Finds New Brunswick Investment Advisor Paul Maurice LiableType: Enforcement NoticeSubtype: Decision
08/29/22IIROC to Hold Penalty Hearing for Paul MauriceType: Enforcement NoticeSubtype: Hearing