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Unpaid Fines Report



In 2014, IIROC began publishing the Unpaid Fines Report which lists advisors and individuals employed at IIROC-regulated firms who have failed to pay fines, disgorgement, and/or costs imposed as a result of enforcement proceedings before an IIROC Hearing Panel. Penalties are imposed upon disciplined individuals either:

  • following a contested hearing; or

  • by approval of a settlement agreement.

The report is intended to serve as an information tool to improve transparency. The report 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.

 


 

About the report

The Unpaid Fines Report:

  • Lists individuals who were disciplined by IIROC ("disciplined individuals") as early as June 1, 2008, when IIROC was created.

  • Includes disciplined individuals who have not paid the amounts imposed on them.

  • Does not include matters where a disciplined individual has appealed or sought a review of a decision made by an IIROC Hearing Panel.

Learn more

 


 

Unpaid Fines Report

Details on penalties can be found by selecting the disciplined individual’s name.

As at February 28 2018

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
  Armstrong, Norman 5 October 2015 $103,978 ON None
  Austin, Jeremy Nicholas Drew 24 January 2017 $280,000 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
  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 Partial
  Connor, Robert 18 November 2015 $40,000 ON None
  Cooney, Patrick 28 January 2011 $100,000 MB Partial
  Crandall, Robert Adrian ​3 October 2016 ​$185,000 ​NB ​None
  Cusson, Alan 21 June 2012 $165,000 QC Partial
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D          
  Dahl, Sherman ​4 November 2016 ​$40,000 ​BC ​Partial
  Dass, Charles Kamal 20 April 2009 $303,184 BC None
  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
  Dirani, Wasseem 5 February 2014 $45,600 ON Partial
  Dirani, Waseem 23 March 2016 $278,000 ON None
Dubois, Daniel 18 February 2014 $35,724 QC Partial
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
  Gebert, Jeffrey Edward ​14 November 2016 ​$295,000 ​ON ​None
  Geddes, William Michael 28 February 2012 $31,500 BC None
  Georgakopoulos, Konstantinos 7 September 2009 $114,576 BC None
Gill, Amandeep 28 July 2015 $32,500 BC None
  Giroux-Garneau, Denyse ​24 November 2016 ​$45,000 ​QC ​None
  Glover, Marjorie Ann 16 February 2011 $75,000 ON None
  Gottfred, Kenneth ​2 June 2016 ​$55,000 ​BC None
  Groome, Reginald Alfred 27 May 2013 $94,198 QC None
  Gunderson, Trevor Ian 13 November 2012 $28,000 AB Partial
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H          
Haller, Kurt Andrew 20 January 2017 $114,500 ON None
  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
  Howell, Shaun Wayne ​2 December 2016 ​$510,000 ​AB ​None
  Husebye, Kim ​26 May 2016 ​$30,000 ​ON ​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
  Janmohamed, Nadir ​3 November 2016 ​$50,000 ​ON ​Partial
  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, Kelly Richard 23 January 2015 $80,000 AB Partial
  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 Partial
  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
Li, Xavier Cheng Kuo 18 December 2015 $42,500 BC None
  Li, Yu Qiong (Kevin) ​21 September 2016 ​$265,000 ​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          
New MacArthur, James 8 May 2017 $60,000 ON None
  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
McCullough, Brian 9 February, 2017 $85,000 BC 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
Mendelman, Allen Samuel 29 March 2016 $105,000 AB Partial
  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
  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
Noronha, Jayanth 13 March 2017 $930,129 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
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
Papp, Roland 13 December 2016 $30,000 ON 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
Pedersson, George 27 April 2017 $10,000 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
Rebeck, Daryl 23 March 2017 $50,000 BC None
  Renaud, Ferdinand ​24 May 2016 ​$100,000 ​BC ​None
  Ricci, Julian Robert 6 March 2015 $215,000 ON None
  Robinson, Kelly ​9 September 2016 ​$55,000 ​BC ​None
  Roy, Richard 15 February 2011 $22,500 QC Partial
New Rutledge, Christopher 2 November 2017 $30,000 ON None
  Ryan, Darlene Catherine 10 May 2012 $1,007,500 NB None
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S          
Sammy, Krishna 4 May 2016 $325,000 ON None
  Sarkissian, Sarkis 19 January 2010 $625,000 QC None
  Sauder, Ian Douglas 14 May 2010 $225,000 ON None
New Sawisky, Michael William 24 August 2016
$10,000 BC 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
  Sole, Robert ​28 July 2016 ​$11,000 ​ON ​None
Sojka, Henry 14 September 2016 $120,000 BC None
  Steel, Jordan 5 February 2013 $108,454 BC None
  Steer, Douglas Terrence 27 January 2015 $156,000 BC None
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
  Suleiman, Rizwan ​9 August 2016 ​$35,000 ​ON ​None
New Suppal, Ravindra Kumar ​24 March 2017 ​$70,000 ​MB ​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
Tersigni, Dominic 26 April 2016 $50,000 ON None
Thai, Thomas Thong 15 December 2015 $70,000 AB Partial
  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          
Watts, John Phillip 13 April 2016 $135,000 PE None
  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          
Yaskiw, Jamie Peter 4 April 2016 $145,000 AB None
  Young, Karen Marie 2 June 2010 $42,500 BC None
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