Enforcement

Enforcement plays a key role in IIROC's pursuit to protect investors and support healthy capital markets.

For more information, see our Guide to Enforcement Proceedings and our annual Enforcement Report.

By searching for an enforcement proceeding below, you can view the notices and decisions associated with an active proceeding or the IIROC Hearing Panel decisions associated with a concluded proceeding.

In addition, IIROC Hearing Panel reasons issued since June 2008 are available free of charge on CanLii (the Canadian Legal Information Institute).

Hearing Calendar:

November 26, 2021, 10:00 a.m.
Howard Tsao
Ontario
Via Videoconference.
Please contact the National Hearing Officer for details at [email protected]

December 3, 2021, 10:00 a.m.
R. J. O’Brien & Associates Canada Inc.
Ontario
Via Videoconference.
Please contact the National Hearing Officer for details at [email protected]

December 21, 2021, 10:00 a.m.
Paul Maurice
New Brunswick
Via Videoconference.
Please contact the National Hearing Officer for details at [email protected]

January 17-21, 24-25, 2022, 10:00 a.m.
Bardya Ziaian
Ontario
Atchison & Denman
155 University Avenue, 8th Floor
Toronto, Ontario

January 17, 19-20, 2022, 10:00 a.m.
Mark Odorico
Ontario
Via Videoconference.
Please contact the National Hearing Officer for details at [email protected]

January 25, 2022, 10:00 a.m.
Jeffrey Callaway
Alberta
Via Videoconference.
Please contact the National Hearing Officer for details at [email protected]

February 28-March 4, 10:00 a.m.
Milan Plentai
Ontario
Atchison & Denman
155 University Avenue, 8th Floor
Toronto, Ontario

Filter enforcement proceedings by...

Date Commenced
Date Concluded
Outcome
Fine $42,000; Costs $10,000; Disgorgement $1,111.72; Suspension
Date Commenced
Date Concluded
Outcome
Fine $350,000; Costs $25,000
Date Commenced
Date Concluded
Outcome
Fine $10,000; Costs $1,000
Date Commenced
Date Concluded
Outcome
Fine $15,000; Costs $2,000
Date Commenced
Date Concluded
Outcome
Fine $350,000; Costs $50,000
Date Commenced
Date Concluded
Outcome
Fine $30,000; Costs $10,000; Suspension
Date Commenced
Date Concluded
Outcome
Fine $25,000; Costs $2,500; Disgorgement $15,000; Suspension
Date Commenced
Date Concluded
Outcome
Fine $150,000; Costs $15,000; Suspension; Conditions