Subject: LAW
CIRO to Hold Disciplinary Hearing for Patrick Joseph Conlin
TORONTO, Feb. 8, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in a matter between Enforcement Staff and Patrick Conlin.
The hearing is open to the public, unless the panel orders otherwise. The decision of the hearing panel will be made available at www.ciro.ca.
Initial Appearance Date: | March 8, 2024 at 10:00 am (Eastern Time) |
Location: | Toronto, Ontario (via videoconference) |
Members of the public who would like to obtain further particulars should fill out this questionnaire.
The hearing concerns allegations that Patrick Conlin:
- completed Know Your Client information on account opening documents to open accounts for investors at an investment dealer where he was not registered and provided recommendations to an investor in respect of non-mutual fund securities outside the Dealer Member;
- failed to process transactions requested by a client; and
- failed to cooperate with an investigation by the MFDA into his conduct.
The Notice of Hearing and Statement of Allegations, which set out the allegations, are available at:
Conlin, Patrick ? Notice of Hearing and Statement of Allegations
The alleged violations occurred while Patrick Conlin was a Registered Representative with the London, Ontario branch of Investors Group Financial Services Inc. Patrick Conlin 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 sanctionsincluding fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.
The 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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