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
5/29/2020	In the Matter of Instinet Canada Limited – Settlement Hearing	Related Documents
5/29/2020	In the Matter of Sean Michael Nother – Adjournment	Related Documents
5/27/2020	In the Matter of Mohammad Movassaghi – Appearance to set a hearing date	Related Documents
5/21/2020	In the Matter of Jin Li – Settlement Hearing	Related Documents
5/21/2020	In the Matter of PACE Securities Corp. – Protective Order	Related Documents
5/19/2020	In the Matter of PACE Securities Corp. – Protective Order Hearing	Related Documents
5/14/2020	In the Matter of Wayne Frederick Workun – Settlement Hearing	Related Documents
5/13/2020	In the Matter of Kenneth Aitchison – Settlement Hearing	Related Documents
5/12/2020	In the Matter of Sean Michael Nother – Penalty Hearing	Related Documents
5/7/2020	In the matter of Christian Desmarais – Settlement Accepted	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