CIRO fines RBC ex Seto after large cash transactions

2026-01-30 20:28 ET - Street Wire

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"The penalties for Ms. Seto are contained in a settlement agreement that CIRO released on Friday, Jan. 30. Ms. Seto has agreed to pay a $75,000 fine plus $5,000 in CIRO's costs. She will also serve a one-month suspension." ...Ms. Seto no longer works at RBC, the firm having fired her on Nov. 1, 2023. She has since moved to CIBC World Markets Inc. where she has been under close supervision. She has been in the industry since 2003."

Must have had a pretty impressive book for CIBC to take her on.

Money talks and CIRO rarely squaks