A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Mutual Fund Dealer Rulesto consider a settlement agreement between CIRO Enforcement Staff and James Benjamin Peddle.
The settlement agreement addresses allegations that James Peddle:
(a) engaged in personal financial and business dealings with clients, which gave rise to conflicts or potential conflicts of interest that he failed to disclose to the Dealer Member or otherwise ensure were addressed by the exercise of responsible business judgment influenced only by the best interests of the clients;
(b) engaged in unapproved outside business activities in respect of bowling alley businesses; and
(c) made false or misleading statements to the Dealer Member during an investigation into his conduct.
The hearing will become open to the public if the hearing panel accepts the settlement agreement. If the settlement agreement is accepted, the panel's decision and the settlement agreement will be made available at www.ciro.ca.
Settlement Hearing Date:September 11, 2025 at 10:00 a.m. (Newfoundland Time)
Location: St. John's, Newfoundland and Labrador (by videoconference)
Members of the public who would like to obtain more details should fill out this form.
The Notice of Settlement Hearing announcing the settlement hearing is available at:
Peddle, James – Notice of Settlement Hearing
The alleged violations occurred while James Peddle was a Registered Representative at the St. John's branch of Investors Group Financial Services Inc. James Peddle 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, visitwww.ciro.ca.
All information about disciplinary proceedings relating to current and former member firms and individual registrants under theInvestment Dealer and Partially Consolidated Rules(for investment dealers), theMutual Fund Dealer Rules(for mutual fund dealers) and theUniversal Market Integrity Rules(UMIR) is available onCIRO'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 theAdvisorReportservice. 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.
All other Inquiries:Complaints & InquiriesSecure form Toll-free (Canada/US) 1-877-442-4322
SOURCE Canadian Investment Regulatory Organization (CIRO)
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