VANCOUVER, BC, July 18,
2024 /CNW/ - A hearing initially scheduled for
July 15, 2024 before a hearing panel
of the Canadian Investment Regulatory Organization (CIRO) pursuant
to the Investment Dealer and Partially Consolidated Rules in the
matter of Randy Bryan Hildebrandt was adjourned to
July 29, 2024.
The hearing is open to the public unless the hearing panel
orders otherwise. The decision of the hearing panel will be made
available at www.ciro.ca.
New Hearing Date: September 16,
2024 at 10:00 am (Pacific
Time)
Location: Veritext Canada, 925 West Georgia Street,
#700, Vancouver, British
Columbia
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The hearing concerns allegations that Randy
Bryan Hildebrandt failed to adequately perform his role as a
gatekeeper to capital markets by failing to make sufficient and
reasonable or diligent inquires in relation to client trading
activities.
The Notice of Hearing and Statement of Allegations, which set
out the allegations, are available at:
Hildebrandt, Randy Bryan – Notice
of Hearing and Statement of Allegations
The alleged contraventions occurred while
Randy Bryan Hildebrandt was a
Registered Representative with a Vancouver branch of PI Financial Corp., where
he continues to be employed in a registered capacity.
The Canadian Investment Regulatory Organization (CIRO) is the
national self-regulatory organization that oversees all investment
dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is
committed to the protection of investors, providing efficient and
consistent regulation, and building Canadians' trust in financial
regulation and the people managing their investments. For more
information, visit www.ciro.ca.
All information about disciplinary proceedings relating to
current and former member firms and individual registrants under
the Investment Dealer and Partially Consolidated Rules (for
investment dealers), the Mutual Fund Dealer Rules (for mutual fund
dealers) and the Universal Market Integrity Rules (UMIR) is
available on CIRO's website.
Background information regarding the qualifications and
disciplinary history, if any, of advisors currently employed by
CIRO-regulated investment firms is available free of charge through
the AdvisorReport service. Information on how to
make dealer, advisor or marketplace-related complaints is available
by calling 1-877-442-4322.
CIRO investigates possible misconduct by its member firms and
individual registrants. It can bring disciplinary proceedings which
may result in sanctions including fines, suspensions, permanent
bars, expulsion from membership, or termination of rights and
privileges for individuals and firms.
SOURCE Canadian Investment Regulatory Organization (CIRO)