Between April 2019 and September 2025, CIBC failed to report or inaccurately reported 7,501 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 1,418,430 instances, in violation of FINRA Rules 2360(b)(5) and 2010. Between April 2019 and July 2025, the firm also failed to maintain and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, CIBC is censured and fined $425,000.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANA MARIA DIMCO (CRD No. 6264698), Respondent. Disciplinary Proceeding No. 2024081608301 Hearing Officer–MPD DEFAULT DECISION October 9, 2025 Respondent is barred from associating with any FINRA member firm in any capacity for improperly using the funds of her member firm employer, in violation of FINRA Rule 2010.