Print This Page    Print This Page

Search Disciplinary Cases


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.



       tool bar