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.

IIROC Hearing Committees resume hearing certain disciplinary matters in-person (or hybrid hearings) in May 2022. Until further notice, in-person attendances will be limited to the hearing participants and their counsel. Members of the public and media will be able to observe IIROC public proceedings remotely (via Webex) by contacting [email protected]. For more information consult the IIROC In-Person and Hybrid Hearings Protocol.

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 30, 2022, 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 5, 2022, 12:00 p.m.
Michael Patrick White
Ontario
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

December 6, 2022, 1:00 p.m.
Krystal Morrison
Saskatchewan
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

Filter enforcement proceedings by...

Date Commenced
Date Concluded
Outcome
Fine $50,000; Disgorgement $17,269; Costs $5,000; Suspension; Conditions
Date Commenced
Date Concluded
Outcome
Fine $125,000; Costs $15,000
Date Commenced
Date Concluded
Outcome
Termination
Date Commenced
Date Concluded
Outcome
Fine $250,000; Costs $40,000
Date Commenced
Date Concluded
Outcome
Fine $50,000; Costs $15,000; Disgorgement $28,806; Suspension
Date Commenced
Date Concluded
Outcome
Fine $200,000; Costs $25,000
Date Commenced
Date Concluded
Outcome
Termination
Date Commenced
Date Concluded
Outcome
Fine $140,000; Costs $22,500