TORONTO, Oct. 28 /CNW/ - Following an appearance on September 29, 2009, in Toronto, Ontario, a Hearing Panel of the Investment Industry Regulatory Organization of Canada ("IIROC") ordered the following in the matter of Stephen Taub (the "Respondent"):
(a) The hearing in this matter will proceed on April 19, 2010 to May 14,
The proposed hearing concerns matters for which the Respondent may be disciplined as a Regulated Person of IIROC, pursuant to Part 10 of IIROC Dealer Member Rule 20.
The IDA formally initiated the investigation into the Respondent's conduct in July 2001. It is alleged that the violations occurred when the Respondent was a Registered Representative with the Toronto Branch of Brant Securities Limited and Research Capital Corporation. The Respondent is no longer a registrant with an IIROC-regulated firm.
The Hearing Panel issued its Decision and Reasons on September 29, 2009. The Hearing Panel's Decision and Reasons are available at www.iiroc.ca.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News
For further information: For further information: Alex Popovic, Vice President, Enforcement, (416) 943-6904, email@example.com; Jeff Kehoe, Director, Enforcement, (416) 943-6996, firstname.lastname@example.org