WINNIPEG, MB, Aug. 1, 2024
/CNW/ - An initial appearance has been scheduled before a hearing
panel of the Canadian Investment Regulatory Organization
(CIRO) pursuant to the Mutual Fund Dealer Rules to set a
date for a disciplinary hearing in the matter of Jeremy Liam Short.
The initial 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.
Initial Appearance
Date:
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September 23, 2024, at
10:00 a.m. (Central Time)
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|
|
Location:
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Winnipeg, Manitoba by
videoconference
|
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The hearing concerns allegations that Jeremy Short:
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- electronically signed a client's signature on a Letter of
Direction to cancel the transfer of the client's investments to
another Dealer Member, without obtaining the client's
authorization,
- electronically signed the signatures of approximately 85
clients on 315 account forms and submitted the account forms to the
Dealer Member for processing,
- created notes on the Dealer Member's system containing false or
misleading information, and
- made false or misleading statements to the Dealer Member during
the course of its investigation into his conduct.
The Notice of Hearing and Statement of Allegations which set out
the allegations are available at:
Short, Jeremy – Notice of Hearing and Statement of
Allegations
The alleged violations occurred while Jeremy Short was registered in Winnipeg, Manitoba as a dealing representative
with Investors Group Financial Services Inc. Jeremy Short is currently not 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)