A Registered Insurance Brokers of Ontario (RIBO) disciplinary committee has reprimanded Jordan Switzer, after Switzer indicated to a RIBO investigator that remedial actions were underway in response to an incident when they were not.
Registered since March 2010, the director of insurance operations with Oracle Risk Management Insurance Services Inc., was asked to field questions from investigators in response to allegations that the firm continued to send emails to a broker’s book of business after the broker had been terminated.
“The issues in the underlying complaint are not at issue in this matter,” the reasons for decision in the case states. “The only issue in this matter related to whether the broker breached the code of conduct and committed misconduct as set out in Ontario Regulation 991 in how he responded to the investigation of the underlying complaint.”
In response to questions posed by RIBO investigators in November 2023, Switzer said the emails sent to the broker’s book of business were an issue with third party provider, Pathway, which sends automated emails to the brokerage’s clients in broker’s names. Switzer told investigators that it was an ongoing issue and that Oracle had “re-engaged” Pathway to rectify the issue.
Although this response implied that steps had already been taken with Pathway to resolve the issue, “the broker acknowledges that it was only after the November 16, 2023 communication from RIBO that he in fact communicated with Pathway to remove any reference to the complainant in the automatically generated emails,” the reasons for decision in the case continues.
Citing sections of Ontario’s regulations which note that providing false or misleading information to RIBO is a form of misconduct, the regulator reprimanded Switzer and ordered the level 1 agent to complete three remedial ethics courses.
