Subject: LAW
Hearing Notice - IN THE MATTER OF Leszek Dziadecki - Review Requested
TORONTO, April 2, 2024 /CNW/ - On February 29, 2024, Leszek Dziadecki filed an Application for a Hearing and Review with the Capital Markets Tribunal seeking a review of a CIRO hearing panel's reasons for decision (misconduct) dated September 26, 2023 and reasons for decision (penalty) dated March 11, 2024 in the matter of Leszek Dziadecki.
The reasons for decision (misconduct) is available at:
The reasons for decision (penalty) is available at:
Further information about the review can be found at:
The violations occurred while Leszek Dziadecki conducted business in the Mississauga, Ontario area.
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.
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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