| Canadian Investment Regulatory Organization

New SRO reschedules continuation of Hearing on the Merits in the matter of Andrew Kazina

January 20, 2023

New SRO Hearing Panel issues Reasons for Decision in the matter of Christopher Roberts

Decision Notice

January 18, 2023

New SRO Panel adjourns Hearing on the Merits in the matter of Jingshan (Sarah) He

January 16, 2023

New SRO reschedules Hearing on the Merits in the matter of Sungsoo (Steve) Lee

January 16, 2023

New SRO schedules date for next appearance in the matter of Andrew Kazina

January 12, 2023

MFDA announces disciplinary proceeding in respect of Roxanne Carter

December 28, 2022

MFDA announces disciplinary proceeding in respect of Andrew Tachauer

December 28, 2022

MFDA issues Notice of Settlement Hearing in respect of Albert Routhier

December 22, 2022

MFDA issues Notice of Settlement Hearing in respect of Robert Fulton

December 22, 2022

MFDA announces disciplinary proceeding in respect of Antonio Luciano

December 22, 2022

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