Le Lézard
Classified in: Business
Subject: LAW

CIRO to Hold a Settlement Hearing for Shawn Michael Obradovic Mollons


WINNIPEG, MB, Sept. 8, 2023 /CNW/ - A hearing has been scheduled before a hearing panel of the Mutual Fund Dealers Division of the Canadian Investment Regulatory Organization (CIRO) to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff and Shawn Michael Obradovic Mollons.

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement. If the agreement is accepted, the panel's decision and the settlement agreement will be made available at www.mfda.ca.

Hearing Date:              September 11, 2023 at 10:00 am Central Time

Location:                     Winnipeg, Manitoba (via videoconference)

The Notice of Application announcing the settlement hearing is available at:

Mollons, Shawn- Notice of Settlement Hearing

The alleged violations occurred while the respondent was a Registered Representative with Scotia Securities Inc. Mr. Mollons is no longer a registrant with a CIRO registered firm.

*  *  *

All information about disciplinary proceedings relating to current and former member firms and individual registrants is available in the Enforcement section of the IIROC website for investment dealer disciplinary proceedings and the MFDA website for mutual fund dealer disciplinary proceedings.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated firms (Investment Dealer Division) is available free of charge through the AdvisorReport service. Information on how to make investment 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 INew Self-Regulatory Organization of Canada


These press releases may also interest you

at 09:40
The Honourable Diane Lebouthillier, Minister of Fisheries, Oceans and the Canadian Coast Guard and Member of Parliament for Gaspésie?Les Îles-de-la-Madeleine, and Stéphane Sainte-Croix, Member of the National Assembly for Gaspé, on behalf of...

at 09:40
The Kinetix Group (TKG) announced the release of its new white paper on optimizing hospital engagement. According to CMS,...

at 09:34
United Real Estate Partners, an affiliate of United Real Estate, announced a merger today with New Orleans Northshore agency, Team Geaux Realty. The move expands Metairie-based United Real Estate Partners to Mandeville. The union is a key strategic...

at 09:33
Trading resumes in: Company: C3 Metals Inc. TSX-Venture Symbol: CCCM All Issues: Yes Resumption (ET): 09:45 AM CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are...

at 09:31
InvestorsObserver issues critical PriceWatch Alerts for MNPR, AQST, NXU, ICU, and TDCX. To see how InvestorsObserver's proprietary...

at 09:31
InvestorsObserver issues critical PriceWatch Alerts for SNOW, PLTR, RCKT, FTNT, and MARA. Click a link below then choose between...



News published on and distributed by: