IN THE MATTER OF Sarkis Sarkissian - Discipline
MONTRÉAL,
(a) guilty of Counts 1 to 44, which have been grouped as follows for the purposes of this notice: --------------------------------------------------------------------- Counts 1 to 5 Failure to learn and remain informed of the essential facts relative to his clients --------------------------------------------------------------------- Counts 6 to 13 and Transactions not permitted under the terms of 23 to 39 the approval granted by IIROC to the Respondent as a registered representative (mutual funds) --------------------------------------------------------------------- Counts 14 to 17 Failure to use due diligence when accepting instructions given by a mandatary --------------------------------------------------------------------- Counts 18 to 22 and 40 Participation in a stratagem --------------------------------------------------------------------- Counts 41 and 42 Off-book transactions not recorded in the books of iForum --------------------------------------------------------------------- Counts 43 and 44 Failure to provide the information required by IIROC ---------------------------------------------------------------------
IIROC formally initiated the investigation into the Respondent's conduct in
The Hearing Panel issued its Decision and Reasons on
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
For further information: Carmen Crépin, Vice President, Québec, (514) 878-2854, [email protected]; Jeff Kehoe, Director, Enforcement, (416) 943-6996, [email protected]
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