Decision Notice - CIRO Sanctions Jeremy Liam Short

WINNIPEG, MB, June 24, 2025 /CNW/ - On June 12, 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 Jeremy Liam Short.

Jeremy Short admitted to:

(a)  electronically signing the signatures of 135 clients on 356 account forms and submitting the account forms to the Dealer Member for processing,

(b)  creating notes on the Dealer Member's system on 13 occasions containing false or misleading information about whether clients had personally signed the account forms, and

(c)  making false or misleading statements to the Dealer Member during its investigation into his conduct in electronically signing the forms for clients.

Pursuant to the settlement agreement, Jeremy Short agreed to a fine of $20,000, costs of $5,000 and a two-year prohibition from conducting securities related business in any capacity while in the employ of or associated with any Dealer Member of CIRO.

The Settlement Agreement is available at:                                                                                                          

Short, Jeremy – Settlement Agreement

The hearing panel's reasons for decision will be made available at www.ciro.ca.

At the time of the violations, Jeremy Short was registered as a dealing representative with Investors Group Financial Services Inc. in the Winnipeg, Manitoba area. Jeremy Short 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)