Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Robert Russell Weir [Globe and Mail, The (Toronto, Canada)]
Stifel Financial Corporation (SF)
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Source: Globe and Mail, The
Rules, a hearing panel of the Canadian Investment Regulatory Organization ( CIRO ) found that Robert Russell Weir disclosed potentially confidential information to a hedge fund client. The hearing panel issued their reasons for decision on November 25, 2024 , which are available at: In their reasons for decision, the hearing panel confirmed the following sanctions imposed on Robert Weir a prohibition on approval in any capacity for a period of six months, a fine of , and a requirement to complete the Conduct and Practices Handbook Course (or equivalent) prior to approval. Robert Weir is also required to pay costs in the amount of At all material times, Robert Weir was working at the Toronto branch of Stifel Nicolaus Canada Inc. Robert Weir 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
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