IN THE MATTER OF Krista Dettelbach - Set Date
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 hearing concerns allegations that the Respondent:
1. From or about February to July 2008, Dettelbach, as an Investment Representative of a Member of IIROC, engaged in business conduct or practice which is unbecoming or detrimental to the public interest in that she misappropriated funds by improperly transacting approximately 50 cancel and correct orders, without instructions, resulting in a benefit to two clients, and a detriment to approximately 15 other clients, at her member firm employer, contrary to IIROC Rule 29.1; and 2. In or about November 2009, Dettelbach, as an Investment Representative of a Member of IIROC, failed to co-operate with IIROC in that she failed to attend at a properly constituted IIROC interview, contrary to IIROC Rule 19.5.
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: Alex Popovic, Vice President, Enforcement, (416) 943-6904, [email protected]; Jeff Kehoe, Director, Enforcement Litigation, (416) 943-6996, [email protected]
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