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.
To see public disciplinary-related information about IIROC-regulated firms or
individual registrants, please type the individual’s name, keyword or firm in
the appropriate search box.
To run a background report on the registration status, employment
history and disciplinary record, if any, of a current advisor at any
IIROC-regulated firm, use the
IIROC AdvisorReport service.