Decision Notice - CIRO hearing panel issues reasons for decision in the matter of Lou Albert Cruz Soco [Yahoo! Finance]
Primerica, Inc. (PRI)
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Source: Yahoo! Finance
Canadian Investment Regulatory Organization (CIRO) Logo (CNW Group/Canadian Investment Regulatory Organization (CIRO)) (a) misappropriated or failed to account for monies obtained from clients, (b) engaged in personal financial dealings with clients that gave rise to conflicts of interest which he failed to disclose or properly address, and (c) failed to cooperate with CIRO Staff's investigation. The hearing panel imposed the following sanctions on Lou Soco: (a) a permanent prohibition from conducting securities-related business with any CIRO Dealer Member, (b) disgorgement in the amount of $217,950, (c) a fine of $217,950 for misappropriation of client funds and personal financial dealings with clients, and (d) a fine of $50,000 for failing to cooperate with CIRO's investigation. Lou Soco is also required to pay costs in the amount of $32,167.25. The hearing panel's decision dated April 7, 2026, is available at: Re Soco 2026 CIRO 11 The violations occurred wh
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