Following a settlement hearing held on June 12, 2025, pursuant to the Mutual Fund Dealer Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision on August 7, 2025.
The hearing panel's reasons for decision are available at:
Re Short 2025 CIRO 40
In their reasons for decision, the hearing panel found that Jeremy Short:
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— electronically signed the signatures of 135 clients on 356 account forms and submitted the account forms to the Dealer Member for processing,
— created 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
— made false or misleading statements to the Dealer Member during its investigation into his conduct in electronically signing the forms for clients.
The hearing panel also confirmed 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.
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, 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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