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 |
|---|---|---|---|---|
| Cavalli, Ricardo | 2 October 2013 | $307,500 | AB | None |
| Cavan, Lodovico | 26 February 2014 | $5,000 | ON | None |
| Chan, Dorothy | 10 September 2013 | $655,000 | BC | None |
| Chan, Lip Fee | 17 January 2007 | $157,500 | ON | None |
| Chang, Lawrence Bradley | 20 January 2014 | $107,500 | BC | None |
| Chang, Lawrence Bradley | 10 November 2009 | $32,000 | BC | None |
| Chang, Russell | 26 May 2016 | $27,500 | BC | None |
| Chang, Tim | 5 January 2018 | $25,000 | ON | None |
| Chapman, Derek | 22 June 2021 | $315,000 | ON | None |
| Cheema, Manjit | 28 April 2020 | $32,500 | BC | None |