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Disciplinary and regulatory record
-
- Hearing date:
- 20 Aug 2019
- Acceptance date:
- 20 Aug 2019
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Reprimand
-
- Hearing date:
- 09 Mar 2022
- Acceptance date:
- 29 Mar 2022
- Committee:
- Audit Registration Committee
- Decision:
- Offer the firm/individual regulatory penalty.
-
- Hearing date:
- 15 Jun 2023
- Acceptance date:
- 15 Jun 2023
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Reprimand
-
- Hearing date:
- 13 Sep 2023
- Acceptance date:
- 10 Oct 2023
- Committee:
- Audit Registration Committee
- Decision:
- Offer the firm/individual regulatory penalty.
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