Hearing Details
Re Application 20240119; Executive Director
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Date Opened:
2024-01-10 -
Hearing Type:
Enforcement
Hearing Status:
In progress; Ruling rendered; Hearing adjourned generally; Ruling rendered
Hearing Dates:
2024-03-06; 2024-07-18; 2027-04-26 - 2027-04-30; 2027-05-03 - 2027-05-04; 2027-05-07;
Initial Allegations:
Manipulation/Misleading trading; Misrepresentation
Hearing Panel:
Audrey T. Ho - Chair, Gordon Johnson, Marion Shaw
Please Note:
On January 10, 2024, the Executive Director issued a notice of hearing. The notice of hearing has not been made public pending the determination of an application for anonymization. On December 15, 2025, a respondent filed an application for further disclosure. The panel issued its Ruling on January 15, 2026. Reasons will follow. The Commission held a hearing management meeting on January 20, 2026. The hearing will commence on April 26, 2027. This matter is proceeding in camera.