IN THE MATTER OF Karen Marie Young - Set Date
The proposed hearing concerns matters for which the Respondent may be disciplined as an Approved Person of IIROC, under Part 10 of IIROC Dealer Member Rule 20.
The hearing concerns allegations that:
(a) Between June 2004 and June 2006 (Relevant Period), while employed as a Registered Representative by Golden Capital Securities Ltd. (Golden Capital), a Member firm, the Respondent acted contrary to Dealer Member Rule (Rule) 1300.1(a) by failing to learn the essential facts relative to her client and to orders accepted in the client's accounts; and (b) During the Relevant Period, the Respondent acted contrary to Rule 29.1 by engaging in business conduct or practice which is unbecoming or detrimental to the public interest when she failed to provide accurate information to Golden Capital's compliance staff.
IIROC formally initiated the investigation into the Respondent's conduct on
The hearing is open to the public, unless the Hearing Panel orders otherwise.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in
For further information: Warren Funt, Vice President, Western Canada, (604) 331-4750, [email protected]; Jeff Kehoe, Director, Enforcement, (416) 943-6996, [email protected]
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