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:

October 4, 2022, 10:00 a.m.
BMO Nesbitt Burns
British Columbia
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

October 11, 2022, 10:00 a.m.
Robert Barber
British Columbia
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

October 14, 2022, 9:30 a.m.
National Bank Financial Inc.
Québec
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

October 20, 2022, 10:00 a.m.
Gregory Paul Bealer
Alberta
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

October 28, 2022, 10:00 a.m.
Jeffrey Rutledge
British Columbia
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

October 31, 2022, 10:00 a.m.
Paul Maurice
New Brunswick
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

November 8, 2022, 10:00 a.m.
Marc St. Pierre
Alberta
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

December 12-14, 2022, 10:00 a.m.
Michael Patrick White
Ontario
Via Videoconference
Please contact the National Hearing Officer for details at [email protected]

Filter enforcement proceedings by...

Date Commenced
Date Concluded
Outcome
Fine $130,000; Costs $25,000; Conditions
Date Commenced
Date Concluded
Outcome
Fine $475,000; Costs $150,000; Permanent Bar
File number
NA
Date Commenced
Date Concluded
Outcome
Fine $50,000; Costs $10,000; Suspension; Conditions
Date Commenced
Date Concluded
Outcome
Dismissed
Date Commenced
Date Concluded
Outcome
Stay of Disciplinary Proceeding by BDRVM see EN 09-0079
Date Commenced
Date Concluded
Outcome
Fine $75,000; Costs $5,000
Date Commenced
Date Concluded
Outcome
Fine $40,000; Cost $15,000
File number
NA
Date Commenced
Date Concluded
Outcome
Fine $25,000; Costs $20,000; Suspension; Conditions