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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.


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.


 Latest Disciplinary Cases


To view all Notices, visit News & Publications


Learn more about searching other regulators' disciplinary databases here


Search completed regulatory actions on the CSA's Disciplined Persons database.

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