This service is provided by IIROC to help investors access the public information available on our Member firms and their registered employees.
Other regulators such as provincial securities commissions conduct their own investigations and may have taken regulatory action against individuals or firms. We recommend you conduct a similar search through these other regulators to determine if the person or firm you are looking into may have been the subject of a regulatory action by another organization.
Please note: The information provided by the Investment Industry Regulatory Organization of Canada is for information purposes only. Without limiting the generality of the foregoing, IIROC makes no warranty as to the accuracy, quality or completeness of the content of the documents included.