VANCOUVER, March 22 /CNW/ - Notice is hereby given that a hearing will be held before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), on Tuesday, April 20, 2010, at Reportex Agencies Ltd., located at 925 West Georgia Street, Suite 1010, Vancouver, BC, at 10:00 a.m. or as soon thereafter as possible, to hear evidence and submissions in the matter of Dirk Christian Lohrisch (the Respondent).
The hearing concerns matters for which the Respondent may be disciplined as an Approved Person of IIROC, pursuant to Part 10 of IIROC Dealer Member Rule 20.
The hearing concerns allegations that:
(a) On or about August 7, 2003, the Respondent, while employed at
Canaccord Financial Ltd. (Canaccord), a Dealer Member, submitted a
Change of Registration Information Form - Form 33-109F5 (F5) to
the Investment Dealers Association (IDA), which was misleading
with respect to his credentials, contrary to Dealer Member Rule
29.1 (then IDA By-law 29.1);
(b) On or about April 13, 2009, the Respondent, while employed at
Canaccord, submitted or caused to be submitted a document to IIROC
that he forged or caused to be forged with the intent that IIROC
act upon that document as the original or a genuine document,
contrary to Dealer Member Rule 29.1; and
(c) On or about October 7, 2009, the Respondent acted contrary to
Dealer Member Rule 29.1 and/or Rule 19.6 in that he attempted to
frustrate and/or obstruct Staff's investigation into his conduct
while he was an Approved Person by not responding truthfully or
completely to Staff with respect to his actions and other
circumstances relating to the allegations in Counts 1 and 2 above.
IIROC formally initiated the investigation into the Respondent's conduct on July 6, 2009. The alleged violations occurred when the Respondent was a Registered Representative with the 609 Granville Street, Vancouver head office of Canaccord. The Respondent is no longer registered in any capacity with an IIROC-regulated firm.
The Notice of Hearing is available at www.iiroc.ca. 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.
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: Warren Funt, Vice President, Western Canada, (604) 331-4750, firstname.lastname@example.org; Jeff Kehoe, Director, Enforcement Litigation, (416) 943-6996, email@example.com