IN THE MATTER OF Hector Wong - Discipline
The 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 hearing concerns allegations that the Respondent:
(a) In or about September to December 2006, as an Officer (Trading, Resident) of a Member of IIROC, engaged in business conduct or practice which is unbecoming or detrimental to the public interest in that he misappropriated funds from his member firm employer by executing transactions in US treasury bills which had the net effect of generating profits in two of his personal accounts at the expense of the inventory account of his member firm employer, contrary to IIROC Rule 29.1.
IIROC formally initiated the investigation into the Respondent's conduct on
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
For further information: For further information: Alex Popovic, Vice President, Enforcement, (416) 943-6904, [email protected]; Jeff Kehoe, Director, Enforcement Litigation, (416) 943-6996, [email protected]
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