IN THE MATTER OF TD Securities Inc., Kenneth Nott, Aidin Sadeghi, Christopher
Kaplan, Robert Nemy and Jake Poulstrup - Discipline
The hearing concerns matters for which the Respondents may be disciplined as Regulated Persons, pursuant to Part 10.5 of the Universal Market Integrity Rules.
The hearing concerns the following allegations: (a) Between May 2005 and October 2005, TD Securities Inc. failed to comply with its trading supervision obligations contrary to UMIR 7.1 and Policy 7.1; (b) Between May 2, 2005 and October 26, 2005, Nott contravened UMIR 2.2(2)(b) and UMIR Policy 2.2 for which he is liable under UMIR 10.4(1); (c) Between June 1, 2005 and October 27, 2005, Sadeghi contravened UMIR 2.2(2)(b) and UMIR Policy 2.2 for which he is liable under UMIR 10.4(1); (d) Between May 12, 2005 and October 27, 2005, Kaplan contravened UMIR 2.2(2)(b) and UMIR Policy 2.2 for which he is liable under UMIR 10.4(1); (e) Between May 2, 2005 and October 31, 2005, Nemy contravened UMIR 2.2(2)(b) and UMIR Policy 2.2 for which he is liable under UMIR 10.4(1); and (f) Between May 10, 2005 and August 29, 2005, Poulstrup contravened UMIR 2.2(2)(b) and UMIR Policy 2.2 for which he is liable under UMIR 10.4(1).
IIROC formally initiated the investigation into the Respondents' conduct on
The hearing is open to the public, unless the Hearing Panel orders otherwise. The Hearing Panel's decision and reasons will be made available to the public. The Notice of Hearing is 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
For further information: Alex Popovic, Vice President, Enforcement, (416) 943-6904, [email protected]; Jeff Kehoe, Director, Enforcement, (416) 943-6996, [email protected]
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