Jing refused to provide documents and information requested by FINRA pursuant to FINRA Rule 8210 in connection with an investigation into whether he participated in an undisclosed outside business activity or private securities transaction(s). As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

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.