Rivet, Nicholas Andrew

File Number

202172

Status

Concluded

Relevant documents:

Re Rivet 2023 CIRO 17

Rivet, Nicholas Andrew - Order - 202172 (November 2, 2023)

Rivet, Nicholas Andrew - Order - 202172 (January 11, 2022)

Rivet, Nicholas Andrew - Notice of Hearing - 202172

Notices about this Proceeding:

12/06/21

MFDA announces disciplinary proceeding in respect of Nicholas Rivet

Type:

Hearing Notice

01/11/22

MFDA schedule dates for Hearing on the Merits in the matter of Nicholas Rivet

Type:

Hearing Notice

03/14/22

MFDA cancels interim appearance in the matter of Nicholas Rivet

Type:

Hearing Notice

06/16/22

MFDA amends hearing dates in the matter of Nicholas Rivet

Type:

Hearing Notice

06/22/22

MFDA Hearing Panel makes findings of misconduct and reserves judgment on sanctions against Nicholas Rivet

Type:

Decision Notice

11/30/23

CIRO Hearing Panel issues Decision on Sanctions and Reasons in the matter of Nicholas Andrew Rivet

Type:

Decision Notice

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