Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $50,000; Costs $60,000; Suspension; Conditions
Summary/details:
Supplementary Notice of Appeal to the Divisional Court, Superior Court of Justice
Relevant documents:
Notices about this proceeding:
11/30/18
IIROC To Set Date For Disciplinary Hearing Regarding Oakville Investment Advisor Douglas John Eley Type: Enforcement Notice
Subtype: Hearing
06/18/19
IIROC to Hold Disciplinary Hearing for Douglas John Eley Type: Enforcement Notice
Subtype: Hearing
02/06/20
IIROC Hearing Panel Finds Oakville Portfolio Manager Douglas John Eley Liable Type: Enforcement Notice
Subtype: Decision
02/26/20
IIROC to Hold Penalty Hearing for Oakville Portfolio Manager Douglas John Eley Type: Enforcement Notice
Subtype: Hearing
06/11/20
IIROC Adjourns Penalty Hearing for Oakville Investment Advisor Douglas John Eley Type: Enforcement Notice
Subtype: Hearing
10/14/20
IIROC Sanctions Oakville Investment Advisor Douglas John Eley Type: Enforcement Notice
Subtype: Decision
10/23/20
IN THE MATTER OF Douglas John Eley – Review Requested Type: Enforcement Notice
Subtype: Hearing
03/29/21
IN THE MATTER OF Oakville Investment Advisor Douglas John Eley – Ontario Securities Commission: Review Decision Type: Enforcement Notice
Subtype: Decision
09/15/21
IN THE MATTER OF Douglas John Eley – Appeal Requested Type: Enforcement Notice
Subtype: Hearing
04/13/23
IN THE MATTER OF Douglas John Eley – Appeal Decision Type: Enforcement Notice
Subtype: Decision