CALGARY, AB, Nov. 28, 2025 /CNW/ - On November 19, 2025, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) held a hearing pursuant to the Investment Dealer and Partially Consolidated Rules to consider a settlement agreement, with sanctions, between Enforcement Staff and James Hartwell. Following the parties' submissions, the hearing panel rejected the proposed settlement.

A disciplinary proceeding in this matter commenced by a Notice of Hearing issued on October 31, 2024:

Hartwell, James – Notice of Hearing and Statement of Allegations

The alleged violations occurred while James Hartwell was the President and Chief Executive Officer, Ultimate Designated Person, Chief Compliance Officer, and a Registered Representative at Emerging Equities Inc. James Hartwell continues to be employed as a Registered Representative with Emerging Equities Inc., a CIRO-regulated firm in Calgary, Alberta.

The Canadian Investment Regulatory Organization (CIRO) is the pan-Canadian 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)