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Search Disciplinary Cases

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This database contains documents related to cases dating back to March, 2003. For earlier enforcement Notices and Hearing documents, please contact IIROC by phone at 1-877-442-4322.

Tip! Use IIROC's search tool to look up disciplinary cases.

 

 


 

Run a background check

Registration status, employment histories, disciplinary records, and other background information of advisors are available by IIROC and other regulators.

 

 

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