VANCOUVER, BC, Sept. 10,
2024 /CNW/ - On August 12,
2024, Enforcement Staff of the Canadian Investment
Regulatory Organization (CIRO) filed a Request for Review to the
British Columbia Securities Commission seeking a review of a CIRO
hearing panel decision in the matter of Teymur Englesby and Cale
Nishimura dated July 22,
2024.
The hearing panel decision is available at:
Re Englesby & Nishimura 2024 CIRO 63
Further information about the review can be found at:
British Columbia Securities Commission
The alleged violations occurred while Teymur Englesby and Cale
Nishimura were Registered Representatives with PI Financial
Corp., now known as Ventum Financial Corp. Teymur Englesby and Cale
Nishimura continue to be employed in a registered capacity
with Ventum Financial Corp.
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)