The Unpaid Fines Report is for information purposes only and is updated on a quarterly basis. The report lists individuals who failed to pay fines, disgorgement, or the costs imposed as a result of an enforcement proceeding before a CIRO Hearing Panel (or a prior IIROC or MFDA Hearing Panel).
Updated as of September 30, 2023
Unpaid Fines Report
| Individual | Date of Penalty Decision or Settlement Agreement | Amount of Fine, Disgorgement (if any) and/or costs | Province | Amount Paid |
|---|---|---|---|---|
| Armstrong, Norman | 5 October 2015 | $103,978 | ON | None |
| Arseneau, Thomas | 28 September 2012 | $520,000 | NB | None |
| Au-Young, Domino | 19 October 2023 | $132,500 | BC | None |
| Aul, Charanjit | 17 September 2015 | $37,500 | BC | None |
| Austin, Jeremy Nicholas Drew | 24 January 2017 | $280,000 | ON | None |
| Ayala, Anthony | 16 August 2017 | $85,000 | ON | Partial |
| Backer, Harold | 9 August 2018 | $2,763,136 | BC | None |
| Balani, Lachman | 16 June 2020 | $132,500 | ON | None |
| Ballanger, Michael | 6 June 2018 | $15,000 | ON | None |
| Bangyay, Richard | 24 June 2013 | $260,000 | ON | None |