TORONTO, Jan. 3, 2024 /CNW/ - On December 18, 2023, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement, with sanctions, between Enforcement Staff and Robert Weston Crocker.
Robert Weston Crocker admitted to the following violations:
Pursuant to the settlement agreement, Robert Weston Crocker agreed to the following sanctions:
Robert Weston Crocker also agreed to pay costs of $10,000.
The Settlement Agreement is available at:
Crocker, Robert Weston ? Settlement Agreement
The hearing panel's decision will be made available at www.ciro.ca.
The alleged violations occurred while Robert Weston Crocker was a Registered Representative with the Toronto branch of Canaccord Genuity Corp. Robert Weston Crocker is no longer a registrant with a CIRO-regulated firm.
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 dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.
CIRO investigates possible misconduct by its member firms and 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.
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)
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