Skip to main content

English
Français

Contact
Ask a question or make a complaint

About IIROC

A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.
About IIROC‌

A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.
Investors

Find the right advisor, make a complaint, or learn investment basics.
Investors‌

Find the right advisor, make a complaint, or learn investment basics.
Markets

How we protect investors and ensure the integrity of markets in Canada.
Markets‌

How we protect investors and ensure the integrity of markets in Canada.
Rules and Enforcement

Find information about policy, rules for our member community and enforcement.
Rules and Enforcement‌

Find information about policy, rules for our member community and enforcement.
Members

Resources for our Dealer Members and Marketplace Members.
Members‌

Resources for our Dealer Members and Marketplace Members.
News and Publications

Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.
News and Publications‌

Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.

Search

Breadcrumb

Home /
Rules and Enforcement /
Enforcement /
Barkwell, Richard

Barkwell, Richard

Reference number:

Date commenced

November 9, 2018

Date concluded

December 11, 2018

Status

Concluded

Outcome

Fine $10,000; Suspension; Conditions

Relevant documents:

Re Barkwell, 2018 IIROC 49

In this section

Other IIROC Sites:

Corporate and Government Debt Trade Information (Rules references not yet updated)
IIROC Services
Notice of Basis Order

Website Terms of Use
Privacy
Social Media Terms of Use
Accessibility (pdf)

About IIROC
Investors
Markets
Rules and Enforcement
Members
News and Publications