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News for C:*CIRO from 2024-07-05 to 2025-07-04 - 39 items News ReleasesIn The NewsOther CAUS
DateSymCompanyPriceTypeHeadline
2025-07-02 19:46C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO orders Ventum to pay $2.3M over dodgy OTC trading
2025-06-30 09:28C:*CIROCanadian Investment Regulatory OrganizationIn the NewsGlobe says CIRO accepts settlement with Ventum
2025-06-24 17:36C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO deems Lougheed liable for off-book activity
2025-06-20 19:53C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines former Investors Group employee Smith $1.5M
2025-06-10 19:00C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites Scotia ex Ladeiro for misappropriation
2025-05-28 20:02C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO orders Canaccord to pay $2.8M over dodgy clients
2025-05-20 07:14C:*CIROCanadian Investment Regulatory OrganizationIn the NewsGlobe says CIRO reaches $2.8M settlement with Canaccord
2025-05-16 08:56C:*CIROCanadian Investment Regulatory OrganizationIn the NewsGlobe says Ontario boosts CIRO's enforcement powers
2025-05-01 19:44C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines Cumberland Private Wealth's Perron $200,000
2025-04-30 20:01C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO finds accusations against Hall unsubstantiated
2025-04-09 20:30C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO to get a new hearing for Englesby, Nishimura
2025-04-08 19:00C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO permanently bans Assante ex Tomkins
2025-04-03 19:48C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines Quadrus ex Griffioen $75,000
2025-03-21 19:55C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites Quadrus ex Lieff over used car business
2025-02-28 19:55C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites Haywood ex Chu over unauthorized transfer
2025-02-25 20:00C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites former TD employee Naek for misappropriation
2025-02-20 20:31C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines, suspends former Assante employee O'Reilly
2025-02-18 19:41C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines RBC ex Munro for falsified portfolios
2025-01-31 19:50C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO finds PI's Hildebrandt a poor gatekeeper
2025-01-23 19:23C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites Scotia ex Lougheed for off-book dealings
2024-12-23 20:01C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO bans RBC ex Vornicu for falsified account updates
2024-12-16 19:39C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO suspends former RBC employee Nafarrate
2024-12-06 19:48C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines, suspends two former Stifel employees
2024-12-03 20:09C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO bans Miller associate Lunam for 18 months
2024-11-28 09:00C:*CIROCanadian Investment Regulatory OrganizationIn the NewsPost says OSC, CIRO examine mutual-fund sales pitches
2024-11-27 08:40C:*CIROCanadian Investment Regulatory OrganizationIn the NewsGlobe says OSC, CIRO eye banks' high-pressure tactics
2024-11-15 20:41C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines Desjardins over supervisory failures
2024-11-12 20:35C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites Calgary's Hartwell for supervisory failures
2024-11-04 20:14C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO bans Echelon ex Debus for 18 months
2024-10-30 20:06C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO finds against Assante ex O'Reilly for client loans
2024-10-28 19:47C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO bans former National Bank employee Roland
2024-10-11 20:12C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines Clarus $425,000 over Liberty Health trades
2024-10-08 20:30C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO bans former Scotia Securities employee Baggs
2024-09-25 20:03C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO cites National Bank ex Ewing for falsified records
2024-09-04 20:05C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO appeals after losing to PI's Englesby, Nishimura
2024-09-03 21:05C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO finds Echelon ex Debus in conflict of interest
2024-08-28 20:19C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO fines Stifel $475,000 for supervision failures
2024-08-08 20:25C:*CIROCanadian Investment Regulatory OrganizationStreet WireCIRO dismisses case against PI's Englesby, Nishimura
2024-07-18 07:07C:*CIROCanadian Investment Regulatory OrganizationIn the NewsPost/CP say CIRO wants you to know they're roughy-tough