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.

Release Date	Title
9/25/2020	In the Matter of Paul Brum – Settlement Hearing	Related Documents
9/24/2020	In the Matter of Joseph Anthony Thomson and Douglas Gerald McRae – Appearance to set a hearing date	Related Documents
9/21/2020	In the Matter of Aaron Jay Rowlatt – Settlement Accepted	Related Documents
9/21/2020	In the Matter of Alvin Rupert Jones – Discipline decision – Liability Decision and Penalty Hearing	Related Documents
9/17/2020	In the Matter of PEAK Securities Inc. – Settlement Accepted	Related Documents
9/17/2020	In the Matter of Shirley Locke – Penalty Decision	Related Documents
9/17/2020	In the Matter of Bardya Ziaian – Disciplinary Hearing/Motion	Related Documents
9/14/2020	In the Matter of Alfred Drose – Appearance to set a hearing date	Related Documents
9/10/2020	In the Matter of Wayne Frederick Workun – Settlement Accepted	Related Documents
8/31/2020	In the Matter of Merlyn Black – Settlement Hearing	Related Documents

1 - 10

Run a background check

Registration status, employment histories, disciplinary records, and other background information of advisors are available by IIROC and other regulators.

Run an IIROC AdvisorReport to research advisors at IIROC-regulated firms
Search outside IIROC

Search Disciplinary Cases

Who We Regulate

Rule Book

Notices

News Releases

Halts & Resumptions

Regulatory Reporting

Inquiries & Complaints

IIROC AdvisorReport

Search Disciplinary Cases