Enforcement Proceeding Notices

Results:

09/06/24

24-0258

CIRO to Hold Sanctions Hearing for Joseph Debus

Rulebook connection

09/05/24

24-0257

CIRO to Hold a Settlement Hearing for Sabrina Antonia Baggs

Rulebook connection

09/04/24

24-0256

CIRO Hearing to continue in the matter of Antony Kin San Chau

Rulebook connection

09/04/24

24-0255

CIRO Hearing Panel issues Reasons for Decision in the matter of Stephanie Bradshaw

Decision Notice

Rulebook connection

08/29/24

24-0253

CIRO Hearing Panel Finds Joseph Debus Liable

Decision Notice

Rulebook connection

08/23/24

24-0250

CIRO Sanctions Stifel Nicolaus Canada Inc.

Decision Notice

Rulebook connection

08/23/24

24-0251

CIRO to Hold a Disciplinary Hearing for Omar Gouda

Rulebook connection

08/16/24

24-0247

CIRO to Hold a Settlement Hearing for Royal Mutual Funds Inc.

Rulebook connection

08/14/24

24-0246

CIRO terminates Gravitas Securities Inc.’s membership

Decision Notice

Rulebook connection

08/12/24

24-0245

CIRO to Hold a Disciplinary Hearing for William Robert Hall

Rulebook connection