The ‘Disciplined list’ is intended to assist the public and the securities industry in conducting due diligence. The list contains the names of individuals and organizations disciplined by the following ruling bodies for securities laws violations, for conduct contrary to public interest or through no-contest settlements since the indicated dates:

Decisions against individuals

• Alberta Securities Commission since 1987;
• Autorité des marchés financiers since 2007;
• British Columbia Securities Commission since 1987;
• Tribunal administratif des marchés financiers (formerly the Bureau de décision et de révision) since 2007;
• Financial and Consumer Services Commission (New Brunswick) since 2005;
• Manitoba Securities Commission since 1999;
• Nova Scotia Securities Commission since 2004;
• Ontario Securities Commission since 1997;
• Financial and Consumer Affairs Authority of Saskatchewan since 2005;
• Québec courts since 2007;
• Investment Industry Regulatory Organization of Canada since 2004;
• Mutual Fund Dealers Association of Canada since 2004; and
• Chambre de la sécurité financière since 2001.

Decisions against organizations

• Alberta Securities Commission since 2008;
• Autorité des marchés financiers since 2008;
• British Columbia Securities Commission since 1987;
• Tribunal administratif des marchés financiers (formerly the Bureau de décision et de révision) since 2008;
• Financial and Consumer Services Commission (New Brunswick) since 2008;
• Manitoba Securities Commission since 2008;
• Nova Scotia Securities Commission since 2003;
• Ontario Securities Commission since 2008;
• Financial and Consumer Affairs Authority of Saskatchewan since 2008;
• Québec courts since 2008;
• Investment Industry Regulatory Organization of Canada since 2008; and
• Mutual Fund Dealers Association of Canada since 2004.

Note: Disciplinary actions issued prior to the launch of SEDAR+ do not always include PDF files, but may contain a URL to an external website that hosts the legacy document.

If a document is not available to view under the regulatory action details, contact the issuing jurisdiction.