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Making A Complaint



We want to hear from you if you have concerns about potential rule infractions or would like to report misconduct by your IIROC-regulated financial advisor or investment firm. IIROC is committed to thoroughly assessing all regulatory matters brought to our attention and will take appropriate regulatory and disciplinary action against those who fail to meet their regulatory obligations.

There are two ways to contact us about suspected misconduct:

Call us

Use our toll-free number 1-877-442-4322.
IIROC records all calls to and from our Complaints & Inquiries telephone lines.

 

      Fill out a complaint form

Download and fill out IIROC's complaint form. Save  and send your completed form to us by one of three methods:

  • secure email as an attachment

  • or toll free fax at 1-888-497-6172         

  • or regular mail (postal addresses listed on the form).

For general inquiries, please send an email to [email protected]. Please include your telephone number in the body of your message.

 


What you need to know before contacting IIROC

  • You don’t have to prove your case in order to report an issue

  • Be ready to provide as many details as possible, including:

    • Your name and contact information

    • Name and contact information of the individuals or firms mentioned in your report

    • Specific details such as how, why and when you encountered the issue(s)

    • Relevant documentation such as copies of forms and notes of meetings or discussions

  • IIROC does not provide compensation or dispute resolution services. Learn how our partners can help you with disputes and getting your money back.

We want to hear from you if you have concerns about potential rule infractions or would like to report misconduct by your IIROC-regulated financial advisor or investment firm. IIROC is committed to thoroughly assessing all regulatory matters brought to our attention and will take appropriate regulatory and disciplinary action against those who fail to meet their regulatory obligations.

There are three ways to report misconduct with IIROC:

Call us

Use our toll-free number
1-877-442-4322. IIROC records all calls to and from our Complaints & Inquiries telephone lines.

 

Email us

Send an email to [email protected] with your concerns. Please include your telephone number in the body of your message.

 

Fill out a complaint form

 


 

Helpful information

  • You don’t have to prove your case in order to report an issue

  • Be ready to provide as many details as possible, including:
    • Your name and contact information
    • Name(s) and contact information of the individuals or firms mentioned in your report
    • Specific details – how, why and when you encountered the issue(s)
    • Relevant documentation – copies of forms and notes of meetings or discussions, for example

  • IIROC does not provide compensation or dispute resolution services. IIROC requires firms to handle investor complaints to prescribed high standards and to take part in dispute resolution when requested by a client. You can learn about dispute resolution services available to investors on the Getting Your Money Back page of this website or by downloading the IIROC brochure, “An Investor’s Guide to Making a Complaint” (PDF).