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 |
|---|---|---|---|---|
| Botha, Daniel | 7 May 2019 | $21,000 | AB | None |
| Bott, Steven | 17 April 2017 | $35,000 | ON | None |
| Brake, Gerard | 19 February 2009 | 0 | MB | None |
| Brake, Mavis | 19 February 2009 | 0 | MB | None |
| Brauns, Peter | 17 January 2014 | $880,000 | ON | None |
| Breckenridge, Kenneth | 14 November 2007 | $357,500 | ON | None |
| Breuer, Michael | 8 January 2015 | $157,500 | BC | None |
| Breukelman, Nathan | 26 April 2018 | $132,500 | ON | None |
| Brick, Robert | 28 June 2007 | $276,500 | ON | None |
| Brodie, John Edward | 5 July 2013 | $80,000 | NS | None |