CIRO - Canadian Investment Regulatory Organization
CIRO - Canadian Investment Regulatory Organization
10/23/2025 | Press release | Distributed by Public on 10/23/2025 11:42
CIRO Sanctions Suzanne Ferguson
Toronto (Ontario), October 23, 2025 - On October 6, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Suzanne Ferguson.
Suzanne Ferguson admitted to failing in her obligations regarding the proper execution of client account documents by electronically signing client signatures on account forms and submitting them to the Dealer Member for processing.
Pursuant to the settlement agreement, Suzanne Ferguson agreed to a prohibition from conducting securities related business in any capacity while in the employ of or associated with any CIRO Dealer Member for a period of six months, a fine of $14,000 and costs of $2,500.
The Settlement Agreement is available at:
Ferguson, Suzanne - Settlement Agreement
The hearing panel's decision will be made available at https://www.ciro.ca.
At all material times, Suzanne Ferguson was registered as a dealing representative with PFSL Investments Canada Ltd. in the St. Thomas, Ontario area. Suzanne Ferguson is currently not registered in the securities industry in any capacity.
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