Enforcement Proceeding Notices

Results:

04/25/24

24-0158

CIRO Hearing Panel issues reasons for decision in the matter of Antony Kin San Chau

Decision Notice

Rulebook connection

04/22/24

24-0157

CIRO to Hold a Settlement Hearing for Gregory Rice

Rulebook connection

04/22/24

24-0156

CIRO Hearing Panel issues Reasons for Decision in the matter of Yujie (Jared) Liu and BMO Nesbitt Burns Inc.

Decision Notice

Rulebook connection

04/22/24

24-0151

CIRO to Hold a Disciplinary Hearing for Antony Kin San Chau

Rulebook connection

04/19/24

24-0153

CIRO to Hold a Disciplinary Hearing for Lorne Allison

Rulebook connection

04/19/24

24-0155

IN THE MATTER OF Clive Wilkins – Motion Hearing

Rulebook connection

04/18/24

24-0152

CIRO Hearing Panel issues its decision and reasons in the matter of Alvinder Gill

Decision Notice

Rulebook connection

04/17/24

24-0148

CIRO to Hold a Settlement Hearing for Neelgiri Chatterjee

Rulebook connection

04/17/24

24-0150

CIRO to Hold a Settlement Hearing for Natalie Kiryak

Rulebook connection

04/11/24

24-0144

CIRO Hearing Panel issues their penalty decision in the matter of Paul O’Brian Walker

Decision Notice

Rulebook connection