Disciplinary and other regulatory matters brought by CIRO Enforcement against individual advisors and firms are heard by panels composed of Hearing Committees’ members (Hearing Panels). Hearing Committees’ members are independent adjudicators, who hear and decide on CIRO disciplinary and regulatory matters in all 10 Districts.
Updates
In May 2022, CIRO Hearing Committees resumed hearing certain disciplinary matters in-person and hybrid hearings. Until further notice, in-person attendances are limited to the hearing participants and their counsel. Members of the public and media are able to observe public proceedings by contacting the Hearing Office at [email protected]. For more information, consult the In-Person and Hybrid Hearings Protocol.
Hearing Calendar
In the Matter of | Will Take Place | Date and Time |
---|---|---|
Joshua Emanuel Mifsud | Ontario – Via Videoconference – Register to attend a hearing | April 23, 2024, 10:00 am EST |
James O’Reilly | Ontario – Via Videoconference – Register to attend a hearing | April 24, 2024, 10:00 am EST |
Patrick Joseph Conlin | Ontario – Via Videoconference – Register to attend a hearing | April 26, 2024, 10:00 am EST |
Susan Armitstead | Alberta – Via Videoconference – Register to attend a hearing | April 29, 2024, 10:00 am MST |
Randy Bryan Hildebrandt | British Columbia – In-Person – Register to attend a hearing | April 29-May 3, 2024, 10:00 am PST |
Allen Murphy | Ontario – Via Videoconference – Register to attend a hearing | May 1, 2024, 10:00 am. EST |
Clive Wilkins | Ontario – Via Videoconference – Register to attend a hearing | May 2, 2024, 10:00 am. EST |
Neelgiri Chatterjee | Nova Scotia – Via Videoconference – Register to attend a hearing | May 7, 2024, 10:00 am. AST |
Benjamin Thomas Banks | Alberta – Via Videoconference – Register to attend a hearing | May 9, 2024, 10:00 am. MST |
Carren Kwok Wah Au | Ontario – Via Videoconference – Register to attend a hearing | May 15, 2024, 10:00 am. EST |
Joseph Debus | Ontario – In-Person – Register to attend a hearing | May 13-15 and 17, 2024, 10:00 am. EST |
Antony Kin San Chau | Ontario – Via Videoconference – Register to attend a hearing | May 21, 2024, 10:00 am. EST |
Gregory Rice | Nova Scotia – Via Videoconference – Register to attend a hearing | May 22, 2024, 10:00 am. AST |
Teymur Englesby and Cale Nishimura | British Columbia – Via Videoconference and In-Person – Register to attend a hearing | June 3-7, 10-12, 2024, 10:00 a.m. PST |
Andrew Kazina | Manitoba – Via Videoconference – Register to attend a hearing | June 13, 2024, 10:00 a.m. CST |
Juan Carlos Saavedra | Alberta – Via Videoconference – Register to attend a hearing | June 19-20, 2024, 10:00 a.m. MST |
Natalie Kiryak | Nova Scotia – Via Videoconference – Register to attend a hearing | June 27, 2024, 10:00 a.m. AST |
Sandly Alteon | Ontario – Via Videoconference – Register to attend a hearing | July 9-10, 2024, 2024, 10:00 a.m. EST |
Kimberly Myles Larson | Alberta – Via Videoconference – Register to attend a hearing | August 6-8, 2024, 10:00 a.m. MST |
Peter Michael Deeb and Hampton Securities Limited | Ontario – In-Person – Register to attend a hearing | September 30 – October 4 and October 7 – 11, 2024, 10:00 a.m. EST |
Lorne Allison | British Columbia – Via Videoconference – Register to attend a hearing | October 17, 2024, 10:00 a.m. PST |
Clarus Securities Inc. and James Christodoulis | Ontario – In-Person – Register to attend a hearing | November 4-8, 11-15, 2024, 10:00 a.m. EST |
Enforcement Proceedings
You may search all CIRO ongoing and closed enforcement cases under Enforcement proceedings.
Contact
The Hearing Office plays a neutral role in the hearing process. It administers all hearing related matters, including the selection of hearing panels, care and distribution of hearing documents, and maintenance of hearing records.
The Hearing Office is independent of Enforcement Staff and acts as the liaison between parties and hearing panels. Outside of a hearing room, all communications between the parties to a proceeding and the hearing panel must go through the Hearing Office.
General questions relating to the hearing process can be answered by members of the Hearing Office. The Hearing Office does not provide legal advice.
The Hearing Office can be reached at [email protected] or 416-943-5846.
The Hearing Office’s mailing address is:
Canadian Investment Regulatory Organization
Hearing Office
Suite 2600, 40 Temperance Street
Toronto, ON, M5H 0B4