CIRO sanctions another ex-trader in disclosure case [Investment Executive - News]
Stifel Financial Corporation (SF)
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Source: Investment Executive - News
On Nov. 25, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) approved a settlement agreement with Jason Adam Beales, a former rep and managing director with Stifel Nicolaus in Toronto. In the settlement agreement, Beales admitted to revealing potentially confidential information about a proposed block trade to multiple hedge fund clients — one of the hedge funds then traded on that information, without his knowledge. CIRO also settled with the firm’s former head of sales and trading for similar conduct — alerting hedge fund clients about pending block trades, information that a hedge fund then traded against. And, in August, CIRO settled with the firm itself, which admitted to failing to properly supervise these kinds of disclosures. Stifel Nicolaus was fined $475,000 for its failings and agreed to pay $25,000 in costs. The former head of sales and trading agreed to a $75,000 fine, a six-month suspension, to pay $5,000 in costs and to complete the Canadian
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