Decision Notice – CIRO Hearing Panel issues Reasons for Decision in the matter of Jeremy Earl Clark
CALGARY, AB, Sept. 15, 2025 /CNW/ – Following a settlement hearing held on July 24, 2025, pursuant to the Mutual Fund Dealer Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision on September 15, 2025.
The hearing panel’s reasons for decision are available at:
In their reasons for decision, the hearing panel held that Jeremy Earl Clark engaged in personal financial dealings with clients of the Dealer Member, which led to conflicts of interest that were not disclosed. Additionally, they held that he made false or misleading statements to the Dealer Member.
The hearing panel confirmed a fine of $80,000, a 12-month prohibition from conducting securities-related business in any capacity while in the employ of or associated with any Dealer Member of CIRO and costs of $5,000 imposed on Jeremy Clark as part of the settlement.
At all material times, Jeremy Clark conducted business as a dealing representative with Investia Financial Services under the registered trade name, CH Financial Ltd. in the Calgary, Alberta area. Jeremy Clark is not currently registered in the securities industry in any 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.
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SOURCE Canadian Investment Regulatory Organization (CIRO)
