TORONTO, July 16,
2024 /CNW/ - An interim appearance has been scheduled
before a hearing panel of the Canadian Investment Regulatory
Organization (CIRO) pursuant to the Mutual Fund Dealer Rules in the
matter of Gordon Keith
Nicholson.
The interim appearance is open to the public unless the hearing
panel orders otherwise. The date for the disciplinary hearing will
be made available at www.ciro.ca.
Interim Appearance:
August 27, 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 Gordon Nicholson
signed the signatures of 13 clients on 19 account forms and
submitted them to the Dealer Member for processing and that he
failed to record and maintain evidence of client trade instructions
and to take adequate steps to verify the identity of clients and
the trade instructions received via email.
The Notice of Hearing and Statement of Allegations, which set
out the allegations, are available at:
Nicholson, Gordon – Notice of Hearing and Statement of
Allegations
At all material times, Gordon
Nicholson conducted business with BMO Investments Inc. in
Guelph, Ontario. Gordon Nicholson is not currently registered in
the securities industry in any capacity.
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.
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)