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In many cases, the end of the year gives you time to step back and take stock of the last 12 months. This is when many of us take a hard look at what worked and what did not, complete performance reviews, and formulate plans for the coming year. For me, it is all of those things plus a time when I u...
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IN THE MATTER OF Peter Michael Deeb - Discipline decision - Liability

TORONTO, Nov. 23, 2012 /CNW/ - Following a disciplinary hearing held between September 24 and November 12, 2012, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) found that Peter Michael Deeb contravened certain IIROC Dealer Member Rules, as set out below.  The Hearing Panel dismissed other allegations, also set out below.

The Hearing Panel's written reasons will follow. Specifically, the Hearing Panel found that Mr. Deeb committed the following violations:

(a)      Count 2: From about November 12, 2008 to December 11, 2009 Mr. Deeb failed to keep and maintain at all times a proper set of books and records, contrary to IIROC Dealer Member Rule 17.2, Dealer Member Rule 200 and National Instrument 31-103 which thereby permitted him to engage in the type of conduct described in Count 1.
   
(b)      Count 4: In or about July 2011 Mr. Deeb refused to provide access to certain books and records maintained by Hampton Securities Limited despite a request by IIROC FinOps Staff and thereby violated IIROC Dealer Member Rule 19.6.
 

The panel dismissed the following allegations:

a)      Count 1: On or about October 28 and 29, 2009, Mr. Deeb commingled client and pro orders, allocated trades after the close of business when the price of securities was known and, in so doing: (a) profited at the expense of his clients and (b) failed to ensure client priority, thereby engaging in conduct unbecoming, contrary to IIROC Dealer Member Rule 29.1.
   
b)      Count 3: Between February 1, 2009 and April 30, 2009 and again between December 2009 and May 2010, Mr. Deeb engaged in the business practice commonly known as "free-riding" in that securities were purchased without sufficient cash in the relevant accounts and no attempt was made to properly settle the securities transactions, and thereby engaged in conduct unbecoming, contrary to IIROC Dealer Member Rule 29.1.
   

A penalty hearing will be scheduled to determine the penalty to be imposed on Mr. Deeb. The date will be made available at www.iiroc.ca.

Documents related to ongoing IIROC enforcement proceedings - including Reasons and Decisions of Hearing Panels - are posted on the IIROC website as they become available. Click here to search and access all IIROC enforcement documents.

IIROC formally initiated the investigation into Mr. Deeb's conduct in December 2009. The violations occurred when he was a Registered Representative and Ultimate Designated Person with Hampton Securities Ltd., an IIROC-regulated firm.  Mr. Deeb continues to be a Registered Representative and Ultimate Designated Person at Hampton Securities Ltd.

*  *  *

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.

IIROC investigates possible misconduct by its member firms and/or individual registrants. It can bring disciplinary proceedings which may result in penalties including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website. Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by IIROC-regulated firms is available free of charge through the IIROC AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1.877.442.4322.

SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News

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