Updated to June 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 | 1909 | 6113 | 3777 | 3050 |
Case Assessment files open: 151
Investigations open: 111
Active Enforcement Proceedings: 23
Active Hearing and Reviews/Appeals of CIRO hearing panel decisions: 3
SANCTIONS IMPOSED
Individuals
FY2027 | FY2026 | FY2025 | FY2024 | |
|---|---|---|---|---|
| Decisions | 7 | 39 | 50 | 65 |
| Fines | $1,229,950 | $6,266,999 | $4,992,523 | $7,616,342 |
| Costs | $82,167 | $392,113 | $473,875 | $545,908 |
| Disgorgement | $232,264 | $958,684 | $1,718,059 | $427,997 |
| Total | $1,544,381 | $7,617,796 | $7,184,457 | $8,590,247 |
| Suspension | 1 | 16 | 19 | 24 |
| Permanent Prohibition | 4 | 10 | 15 | 14 |
| Conditions | 0 | 1 | 8 | 13 |
Firms
FY2027 | FY2026 | FY2025 | FY2024 | |
|---|---|---|---|---|
| Decisions | 2 | 9 | 7 | 10 |
| Fines | $2,000,000 | $4,097,500 | $2,400,000 | $4,752,500 |
| Costs | $150,000 | $285,000 | $100,000 | $265,000 |
| Disgorgement | $3,300,000 | $4,305,790 | $623,925 | $797,017 |
| Total | $5,450,000 | $8,688,290 | $3,123,925 | $5,814,517 |
| Suspension | 0 | 0 | 1 | 0 |
| Termination | 0 | 0 | 1 | 0 |