Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $90,000; Costs $10,000
Notices about this proceeding:
11/25/21
IIROC to Hold Disciplinary Hearing for R. J. O’Brien & Associates Canada Inc. Type: Enforcement Notice
Subtype: Hearing
11/10/22
IIROC to Hold a Settlement Hearing for R. J. O’Brien & Associates Canada Inc. Type: Enforcement Notice
Subtype: Hearing
12/08/22
IIROC Sanctions R. J. O’Brien & Associates Canada Inc. Type: Enforcement Notice
Subtype: Decision