HALIFAX,
NS, April 30, 2024 A hearing has been
scheduled before a hearing panel of the Canadian Investment
Regulatory Organization (CIRO) pursuant to the Mutual Fund
Dealer Rules to consider a settlement agreement entered into
between Enforcement Staff and Sean Joseph Howes.
The hearing will become open to the public in the event that the
panel accepts the settlement agreement. If the settlement agreement
is accepted, the panel's decision and the settlement agreement will
be made available at www.ciro.ca.
Settlement Hearing Date: May 2, 2024 at 10:00 am (Atlantic Time)
Location: Halifax, Nova
Scotia (by videoconference)
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The Notice of Application announcing the settlement hearing is
available at:
Howes, Sean - Notice of Hearing
At all material times, Sean Howes
conducted business in the Halifax, Nova
Scotia area.
* * *
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.
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)