A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to theInvestment Dealer and Partially Consolidated Rulesto consider a settlement agreement between CIRO Enforcement Staff and Regan Donald Eric Espeseth.
The hearing will become open to the public if the 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:August 19, 2025 at 10:30 a.m. (Central Standard Time)
Location:Saskatoon, Saskatchewan(by videoconference)
Members of the public who would like to obtain further particulars should fill out this form.
The Notice of Application announcing the settlement hearing is available at:
Espeseth, Regan – Notice of Application for Settlement Hearing
At all material times,Regan Espeseth conducted business in Saskatoon, Saskatchewan as a Registered representative with RBC Dominion Securities Inc. Regan Espeseth is currently not 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 & Inquiries Secure form Toll-free (Canada/US) 1-877-442-4322
SOURCE Canadian Investment Regulatory Organization (CIRO)
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