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Unpaid Fines Report



​This report identifies advisors and other individuals who had been employed at IIROC-regulated firms and who have not paid the full amount of a fine, disgorgement, and/or costs order imposed as a result of enforcement proceedings before an IIROC Hearing Panel. The report is intended to serve as an informational tool; it is not meant to be a list of individuals currently indebted to IIROC. Accordingly, the report may include the names of individuals who received a bankruptcy discharge subsequent to the order being made. 

The report is updated quarterly and lists individuals who were disciplined by IIROC ("disciplined individuals") as early as June 1, 2008, when IIROC was created. Penalties are imposed upon disciplined individuals by an IIROC Hearing Panel either:

  • following a contested hearing, or
  • by approval of a settlement agreement.
To learn more about IIROC's Enforcement process, see How Our Enforcement Process Works. Disciplined individuals who have not paid the amount levied within 60 days will be placed on this report.
 
Please note that this report does not include matters where a disciplined individual has appealed or sought a review of a decision made by an IIROC Hearing Panel. Details on penalties can be found by selecting the disciplined individual’s name in the Unpaid Fines Report.
 

June 12, 2014 Press Release - IIROC publishes names of individuals with outstanding fines

 


 

Last updated: August 2016

 

A   B   C   D   E   F   G   H   I   J   K   L   M   N   O   P  Q  R   S   T   U   V   W   X   Y   Z   

  Disciplined Individual Date of Penalty Decision or Settlement Agreement Amount of Fine, Disgorgement (if any) and/or costs Province Amount Paid (None/Partial)
A          
  Ahn, Harold Hee 24 May 2011 $1,057,000 ON None
  Ahrens, Robert Justin 29 September 2014 $20,000 BC None
New Alboini, Victor Philip 23 September 2014 $557,485 ON None
  Armstrong, Norman 5 October 2015 $103,978 ON None
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B          
  Bateman, Scott 28 May 2014 $22,000 BC None
  Beaulne, Benoit 31 October 2012 $41,491 QC None
  Becher, Robert Campbell 2 June 2014 $25,000 ON Partial
  Beck, Gary 17 July 2012 $38,315 ON None
New Beghin, Adriano 27 January 2014 $12,500 ON Partial
  Beland, Alain 18 November 2010 $15,000 QC None
  Benarroch, Georges 16 February 2011 $300,000 ON None
  Bergeron, Andre 3 October 2008 $75,000 QC None
  Bergeron, Daniel Claude 26 February 2013 $45,000 QC None
  Biduk, Roger Michael 21 August 2013 $150,000 QC None
  Blanchard, Shelley 10 April 2013 $5,000 ON None
  Bortolin, Sandy Joseph 13 March 2012 $600,000 ON None
  Boswell, Robert William 31 October 2008 $125,000 AB None
  Brodie, John Edward 5 July 2013 $80,000 NS None
  Buskell, John D.W. 25 June 2008 $81,836 AB None
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C          
  Chang, Lawrence Bradley 20 January 2014 $107,500 BC None
  Chang, Lawrence Bradley 10 November 2009 $32,000 BC None
  Chung, Darin 19 November 2015 $45,000 BC None
  Clarke, Gary 19 January 2016 $32,500 BC None
  Clarke, Jeremie Steven 7 July 2011 $18,000 QC Partial
  Cohen, Idan 22 February 2012 $91,666 ON Partial
  Cohen, Jamie 23 February 2012 $91,666 ON Partial
  Cole, Henry 3 February 2012 $5,030,022 ON None
  Collias, John Anastasious 31 August 2009 $10,000 BC None
  Collias, John Anastasious 5 July 2010 $25,000 BC None
  Connacher, David 10 May 2011 $571,316 ON None
  Connor, Robert 18 November 2015 $40,000 ON None
  Cooney, Patrick 28 January 2011 $100,000 MB Partial
  Cusson, Alan 21 June 2012 $165,000 QC None
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D          
  Dass, Charles Kamal 20 April 2009 $303,184 BC None
New Darrigo, Paul Christopher January 19 2015 $180,000 ON None
  Dean, Todd Robert 13 September 2010 $40,000 AB Partial
  Dennis, James Charles 21 January 2011 $336,855 ON None
  Dennis, Mark Allen 31 July 2012 1,482,500 ON None
  Dettelbach, Krista 21 January 2011 $115,000 ON None
  Dickson, Gordon Bruce 10 March 2014 $60,000 BC None
  Dirani, Wasseem 5 February 2014 $45,600 ON Partial
New Dirani, Waseem 23 March 2016 $278,000 ON None
New Duchaine, Steve 27 July 2015 $65,004 ON Partial
  D'Ugo, Tony 26 March 2010 $55,000 ON None
  Duke, Dean Shannon 27 October 2011 $20,000 BC None
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E          
  Elue, Afam 15 July 2014 $22,500 ON Partial
  Esson, Nancy 17 June 2010 $27,000 ON None
  Ewaniuk, Ross Patrick 27 April 2010 $32,500 AB None
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F          
  Faber, Kathryn 26 March 2014 16,000 ON Partial
  Fearn, Erica 10 March 2010 $52,000 BC None
  Floyd, Charles Bruce 27 May 2013 $120,860 AB None
  Fridgant, Mark 10 October 2004 $125,000 ON None
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G          
  Gareau, Kenneth 2 January 2012 $167,383 SK None
  Gaudreault, Jean Yves 23 March 2015 $18,000 QC None
  Geddes, William Michael 28 February 2012 $31,500 BC None
  Georgakopoulos, Konstantinos 7 September 2009 $114,576 BC None
New Gill, Amandeep 28 July 2015 $32,500 BC None
  Glover, Marjorie Ann 16 February 2011 $75,000 ON None
  Groome, Reginald Alfred 27 May 2013 $94,198 QC None
  Gunderson, Trevor Ian 13 November 2012 $28,000 AB None
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H          
  Harding, Randal William 16 December 2011 $167,861 ON None
  Hodge, Craig 18 May 2013 $90,000 ON None
  Hoffar, Matthew Douglas 20 February 2012 $60,000 BC None
  Holmes, Robert Bruce 16 April 2014 $125,000 BC None
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I          
  Igra, Irwin 22 June 2009 $12,500 ON Partial
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J          
  Jacobsen, Ivan 14 June 2013 $29,596 BC None
  Jacobsen, Keith 14 June 2013 $19,596 BC None
  Jannetta, James 18 May 2010 $51,500 MB None
  Jaques, Simon Roy 9 July 2014 $100,000 BC None
  Jones, Catherine Deborah 25 May 2015 $63,000 BC Partial
  Jones, James Gwilym 10 August 2012 $210,000 AB None
  Jones, Michael 24 March 2011 $43,000 ON None
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K          
  Kent, Linda 16 February 2011 $245,000 ON None
  Kotar, Hugo Michael Nicolas 21 January 2015 $22,500 BC None
  Kumar, Brian Anish 19 August 2015 $55,000 ON None
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L          
  Lalonde, Pierre 7 February 2012 $160,000 QC None
  Lambert, James Dale 5 April 2013 $13,000 SK None
  Lann, Ronald 14 January 2013 $115,000 QC None
  Laroche, Alain 9 May 2012 $25,000 QC None
  Lee, Gabriel Ka Leung 9 March 2013 $80,000 AB None
  Leigh, Michael Scott 26 January 2010 $106,000 ON None
  Lemay, Jean Francois 14 May 2013 $60,000 QC None
  Lewis, Robert 12 November 2015 $195,000 BC None
New Li, Xavier Cheng Kuo 18 December 2015 $42,500 BC None
  Lohrisch, Dirk Christian 26 July 2010 $67,000 BC None
  Lowe, Doreen 7 November 2013 $100,000 BC None
  Lower, Scott Phillip 11 August 2009 $55,065 BC None
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M          
  MacMenamin, James Martin 3 June 2010 $30,000 ON None
  Malley, Brian Andrew 25 June 2014 $335,000 AB None
  Malley, Christine Marie 25 June 2014 $265,000 AB None
  Martens, Henry 10 July 2013 $55,000 BC None
  Matthews, Grant Patrick 5 January 2015 $220,000 AB None
  McErlean, Shaun Gerard 16 March 2012 $90,000 ON None
  McKimm, Malcolm Joseph 30 August 2010 $55,000 AB Partial
  Mechaka, Yves 30 July 2009 $50,000 QC None
  Melville, Alistair Malcolm 23 October 2014 $410,000 ON None
New Mendelman, Samuel 29 March 2016 $105,000 AB None
  Moldovan, Traian 16 April 2014 $125,000 BC None
  Mondal, Probhash 1 June 2015 $110,000 ON None
  Moran, Stephen 9 November 2012 $22,500 QC None
  More, Nicola 23 June 2014 $35,000 BC Partial
  Morrison, Trevor Scott 16 January 2009 $61,000 BC None
  Myatovic, Marco 7 November 2014 $500,000 BC None
  Mytting, Syvert 30 July 2012 $70,000 BC None
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N          
  Nemy, Robert 30 April 2011 $112,500 ON None
  Nott, Kenneth 30 April 2011 $22,500 ON None
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O          
  O'Neill, Patrick David 11 April 2011 $879,985 QC None
  Opaleke, Sunday Bamidele 6 October 2014 $95,000 MB None
New Orr, Roy William 12 June 2015 $73,600 QC None
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P          
  Pan, Sammy Shieh Lung 27 April 2012 $165,000 BC None
  Park, James Seong II 1 October 2010 $40,000 ON None
  Parkinson, David Charles 14 March 2012 $40,000 BC Partial
  Pawar, Gurpreet Singh 23 October 2012 $85,000 BC None
  Paziuk, Timothy Roy 28 October 2009 $25,000 BC None
  Petriccione, Anthony 6 May 2010 $52,000 ON None
  Phillips, David Charles 2 October 2013 $2,115,111 ON None
  Phillips, Donald Earl 5 February 2015 $110,000 MB None
  Phillips, Melaney 16 November 2011 $315,350 BC None
  Phillips, Robert Mortimer 6 March 2010 $125,000 QC None
  Prior, Glenn 17 January 2013 $25,000 ON None
  Puri, Rajiv 20 January 2014 $46,000 ON None
  Putzi, Ronald Anton 24 June 2014 $27,500 BC None
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R          
  Rada, Marcel Anil 2 May 2011 $85,000 BC None
  Rail, Stephane 27 March 2012 $110,000 QC None
  Ramsay, Pirkko Ann 16 July 2013 $236,000 ON None
  Rao, Gregory 7 February 2011 $285,000 ON None
  Ricci, Julian Robert 6 March 2015 $215,000 ON None
  Roy, Richard 15 February 2011 $22,500 QC Partial
  Ryan, Darlene Catherine 10 May 2012 $1,007,500 NB None
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S          
  Sarkissian, Sarkis 19 January 2010 $625,000 QC None
  Sauder, Ian Douglas 14 May 2010 $225,000 ON None
  Schayes, David Guy 15 December 2014 $90,000 AB None
  Schoer, Roger 26 May 2011 $300,000 ON None
  Scoten, Samuel Ryan 21 November 2012 $55,000 BC None
  Shamseer, Savitri 24 January 2011 $55,000 ON None
  Shep, David Francis 22 February 2010 $100,000 ON None
  Silvaggio, Maria Celeste 7 August 2011 $150,000 QC Partial
  Siska, Daniel 16 April 2015 $18,000 QC None
  Sloan, David Edward 22 July 2014 $15,000 ON None
  Smith, Daniel Edward 11 April 2013 $55,000 BC None
  Smith, David Kenneth 6 November 2009 $54,329 BC None
  Steel, Jordan 5 February 2013 $108,454 BC None
  Steer, Douglas Terrence 27 January 2015 $156,000 BC None
New Stefaniuk, Gerald 29 September 2015 $35,000 BC None
  Stefiuk, Todd William 26 April 2011 $40,000 AB Partial
  Stoneburg, Ronald 15 December 2010 $455,000 ON None
  St Pierre, Luc 18 August 2008 $100,000 QC None
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T          
  Taggart, Glenn Arthur 30 April 2015 $90,000 ON None
  Taggart, Glenn Arthur 8 May 2013 $18,000 ON Partial
  Teng, Maoqing 14 August 2012 $15,000 BC None
New Tersigni, Dominic 26 April 2016 $50,000 ON None
New Thai, Thomas Thong 15 December 2015 $70,000 AB None
  Toh, Weng Lok 20 June 2011 $25,000 AB None
  Trenholm, Daniel Murray 24 November 2009 $30,000 NS None
  Trites, Bradley Ferris 27 October 2010 $29,500 BC None
  Turenne, Jacques 28 October 2015 $30,000 QC None
  Turenne, Jacques 25 July 2013 $11,000 QC Partial
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V          
  Van Benthem, Paul 6 May 2010 $52,000 ON None
  Vitug, Julius Caesar Phillip 12 August 2010 $445,000 ON None
  Voncina, Gary 22 October 2010 $15,500 AB Partial
  Voyer, Carol 3 November 2011 $45,000 QC Partial
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W          
  Wenman, James Edward Lytton 7 February 2012 $12,500 BC None
  Williamson, Gary John 22 February 2011 $45,000 ON None
  Wilson, Brian Vaughn 26 July 2011 $111,000 ON None
  Wilson, John Russell 2 October 2013 $615,000 ON None
  Wong, Hector 29 October 2010 $125,000 ON None
  Wood, Daryl William 14 October 2014 $15,000 BC None
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Y          
  Young, Karen Marie 2 June 2010 $42,500 BC None
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