Enforcement Notice - Decision - IIROC Sanctions Former St. Catharines Investment Advisor Dean Martin Jenkins
Published
Apr 07 2021 at 6:10 PM GMT
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- CATHARINES, ON, April 7, 2021 /CNW/ -"Following a penalty hearing held on March 9, 2021, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following penalty on Dean Martin Jenkins: (a)""????' a permanent prohibition from registration with IIROC; and (b)????""' disgorgement in the amount of $55,450.
- Jenkins is also required to pay costs in the amount of $2,500.
- The penalty decision can be found at: http://www iiroc ca/documents/2021/62098586-7765-4d32-835f-895563bf1c9b_en pdf" In an earlier decision dated December 18, 2020, the Hearing Panel found that Mr.
- Jenkins facilitated the off-book purchase of high-risk syndicated mortgage investments for several clients.
- He also failed to tell his employer about the transactions.
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- Published Apr 7, 2021 6:10 PM GMT