CALGARY, AB, July 3, 2025 /CNW/ – Following a settlement hearing held on May 15, 2025 pursuant to the Mutual Fund Dealer Rules, on June 23, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision in the matter of Scott Nicolas Zurevinski.
The hearing panel’s reasons for decision are available at:
In their reasons for decision, the hearing panel found that Scott Zurevinski failed in his obligations regarding the proper execution of client account documents, by signing a client’s signature on account forms and submitting them to the Dealer Member for processing. The hearing panel also confirmed a fine of $10,000 and costs of $2,500 imposed on Scott Zurevinski as part of the settlement.
At all material times, Scott Zurevinski was registered in Alberta with Investors Group Financial Services Inc. Scott Zurevinski is currently registered in Alberta, British Columbia and Saskatchewan as a dealing representative with Acumen Capital Finance Partners Limited.
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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)
