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Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing for Calgary Investment Advisor Wayne Frederick Workun

CALGARY, AB, Aug. 12, 2020 /CNW/ - A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) will consider whether to accept a Settlement Agreement entered into between IIROC staff and Wayne Frederick Workun. The Agreement concerns allegations that Mr. Workun failed to use due diligence to ensure that recommendations were suitable for a client and engaged in discretionary trading in that client's accounts.The hearing is not open to the public but will become open if and when the Panel accepts the agreement. Members of the public who are interested to attend the hearing may contact IIROC's National Hearing Coordinator at NHC1@iiroc.caA in advance of the hearing to obtain further details. If the agreement is accepted, the Reasons for Decision and the Settlement Agreement will be made available at www.iiroc.ca.Appearance Date:A  The hearing will be held by way of videoconference on August 21, 2020 at 10:00 a.m.IIROC formally initiated the investigation into Mr. Workun's conduct in February 2016. The conduct occurred while he was a Registered Representative with the Calgary branch of Leede Jones Gable Inc., an IIROC-regulated firm.A  Mr. Workun is employed with Leede Jones Gable Inc.
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