CIRO sanctions two advisors for breaches in industry standards [Wealth Professional (Canada)]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Wealth Professional
The Canadian Investment Regulatory Organization (CIRO) has issued sanctions against two advisors following separate settlement hearings held in November. The hearings addressed allegations of misconduct involving Robert Russell Weir and Gordon Keith Nicholson, each of whom faced disciplinary measures for violations under CIRO's regulatory framework. A settlement hearing held on November 7, reviewed allegations that Robert Russell Weir disclosed potentially confidential information to a hedge fund client while employed at the Toronto branch of Stifel Nicolaus Canada Inc. The information related to block trade transactions for two publicly listed issuers, which may have been used for short sale transactions by the hedge fund without Weir's knowledge. On November 25, the hearing panel issued its reasons for decision , confirming the sanctions against Weir. These included: A prohibition on approval in any capacity for six months; A fine of $10,000; A requirement to complete
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News
- NervGen Announces "At-The-Market" Equity Program [Yahoo! Finance]Yahoo! Finance
- Transaction in Own Shares [Yahoo! Finance]Yahoo! Finance
- Stifel Reports November 2024 Operating Data [Yahoo! Finance]Yahoo! Finance
- Stifel Reports November 2024 Operating DataGlobeNewswire
- CIRO penalizes representative for improper disclosure to hedge funds [Wealth Professional (Canada)]Wealth Professional
SF
Earnings
- 10/23/24 - Miss
SF
Sec Filings
- 12/20/24 - Form 4
- 12/19/24 - Form 8-K
- 12/13/24 - Form 4
- SF's page on the SEC website