Carter, Roxanne

File Number

202271

Status

Concluded

Outcome

Costs $5000.00; Fine $10000.00

Relevant documents:

Re Carter 2024 CIRO 16

Carter, Roxanne - Order - 202271 (June 27, 2023)

Carter, Roxanne - Settlement Agreement - 202271

Carter, Roxanne - Order - 202271 (March 14, 2023)

Carter, Roxanne - Notice of Hearing - 202271

Notices about this Proceeding:

12/28/22

MFDA announces disciplinary proceeding in respect of Roxanne Carter

Type:

Hearing Notice

03/20/23

New SRO schedules date for Hearing on the Merits in the matter of Roxanne Carter

Type:

Hearing Notice

06/26/23

CIRO announces settlement hearing to take place in the matter of Roxanne Carter

Type:

Hearing Notice

07/26/23

CIRO Hearing Panel accepts settlement agreement with Roxanne Carter

Type:

Decision Notice

01/31/24

CIRO Hearing Panel issues Reasons for Decision in the matter of Roxanne Marie Carter

Type:

Decision Notice

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