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.

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Release Date	Title
1/16/2020	In the Matter of Joseph Marcel Denis (Denis) Rochon – Settlement Hearing	Related Documents
1/15/2020	In the Matter of Bardya Ziaian – Discipline Hearing	Related Documents
1/14/2020	In the Matter of Lelio De Cicco – Settlement Accepted	Related Documents
1/14/2020	In the Matter of Michael Francis O’Brien – Discipline decision - Liability	Related Documents
1/10/2020	In the Matter of Kingsdale Capital Markets Inc. (now Regent Capital Partners) and Cameron Richard Prange – Settlement Accepted	Related Documents
1/9/2020	In the Matter of Thomas William Dunn – Discipline Hearing	Related Documents
1/8/2020	In the Matter of Gravitas Securities Inc. – Settlement Hearing	Related Documents
12/27/2019	In the Matter of Darren Carrigan and Jason Gold – Settlement Accepted	Related Documents
12/23/2019	In the Matter of Paul Barreca – Settlement Hearing	Related Documents
12/19/2019	In the Matter of Sean Michael Nother – Appearance to set a hearing date	Related Documents

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