TORONTO
,
Oct. 28
/CNW/ - Following an appearance on
September 29, 2009
, in
Toronto
, Ontario, a Hearing Panel of the Investment Industry Regulatory Organization of
Canada
("IIROC") ordered the following in the matter of
Stephen Taub
(the "Respondent"):
(a) The hearing in this matter will proceed on April 19, 2010 to May 14,
2010.
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 IDA formally initiated the investigation into the Respondent's conduct in
July 2001
. It is alleged that the violations occurred when the Respondent was a Registered Representative with the
Toronto
Branch of Brant Securities Limited and Research Capital Corporation. The Respondent is no longer a registrant with an IIROC-regulated firm.
The Hearing Panel issued its Decision and Reasons on
September 29, 2009
. 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
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.
For further information: 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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