Updated to September 30, 2026 (CIRO’s Fiscal Year is April 1 to March 31)
For Complaints and Inquiries Statistics, please see Complaints and Inquiries Statistics.
Matters reported through the Complaint and Settlement Reporting System (COMSET) (and prior to February 24, 2025 the Member Event Tracking System (METS))
FY2027 | FY2026 | FY2025 | FY2024 | |
|---|---|---|---|---|
| COMSET | 4108 | 6113 | 3777 | 3050 |
Case Assessment files open: 160
Investigations open: 118
Active Enforcement Proceedings: 23
Active Hearing and Reviews/Appeals of CIRO hearing panel decisions: 3
SANCTIONS IMPOSED
Individuals
FY2027 | FY2026 | FY2025 | FY2024 | |
|---|---|---|---|---|
| Decisions | 13 | 39 | 50 | 64 |
| Fines | $1,739,950 | $6,266,999 | $4,992,523 | $7,509,055 |
| Costs | $152,167 | $392,113 | $473,875 | $495,908 |
| Disgorgement | $353,327 | $958,684 | $1,718,059 | $427,997 |
| Total | $2,245,444 | $7,617,796 | $7,184,457 | $8,432,960 |
| Suspension | 3 | 16 | 19 | 25 |
| Permanent Prohibition | 8 | 10 | 15 | 14 |
| Conditions | 0 | 1 | 8 | 21 |
Firms
FY2027 | FY2026 | FY2025 | FY2024 | |
|---|---|---|---|---|
| Decisions | 3 | 9 | 7 | 10 |
| Fines | $2,275,000 | $4,097,500 | $2,400,000 | $4,752,500 |
| Costs | $160,000 | $285,000 | $100,000 | $265,000 |
| Disgorgement | $3,300,000 | $4,305,790 | $623,925 | $797,017 |
| Total | $5,735,000 | $8,688,290 | $3,123,925 | $5,814,517 |
| Suspension | 0 | 0 | 1 | 0 |
| Termination | 0 | 0 | 1 | 0 |