Completed Cases

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

Print Completed Hearings List

The Notices of Hearing, Notices of Settlement Hearing and Notices of Application on the "Current Cases" page contain unproven allegations. Please refer to the "Completed Cases" page for disciplinary proceedings in which allegations have been proved.

Disclaimer:

The information provided on this webpage is for informational purposes only. Order Payment Status information is updated on a quarterly basis as at March 31, June 30, September 30 and December 31. The information on this list is current as at November 9, 2016.

Definitions:

  • Paid: Respondent has paid the fine and costs ordered against them in full.
  • Unpaid: Respondent has not paid any portion of the fines or costs ordered against them.
  • As Ordered: Respondent is paying in installments as per the terms set out in the Order.
  • Partial: Respondent has paid a portion of either the fines or the costs ordered against them, but it is not part of an installment plan set out in an Order, or the Respondent has failed to adhere to the terms of an installment plan set out in an Order.
  • Under Review: A review has been requested of the Hearing Panel's decision by the local securities regulatory authorities. Further information will be posted as it becomes available.



The Notices of Hearing, Notices of Settlement Hearing and Notices of Application on the "Current Cases" page contain unproven allegations. Please refer to the "Completed Cases" page for disciplinary proceedings in which allegations have been proved.

Disclaimer:

The information provided on this webpage is for informational purposes only. Order Payment Status information is updated on a quarterly basis as at March 31, June 30, September 30 and December 31. The information on this list is current as at November 9, 2016.

Definitions:

  • Paid: Respondent has paid the fine and costs ordered against them in full.
  • Unpaid: Respondent has not paid any portion of the fines or costs ordered against them.
  • As Ordered: Respondent is paying in installments as per the terms set out in the Order.
  • Partial: Respondent has paid a portion of either the fines or the costs ordered against them, but it is not part of an installment plan set out in an Order, or the Respondent has failed to adhere to the terms of an installment plan set out in an Order.
  • Under Review: A review has been requested of the Hearing Panel's decision by the local securities regulatory authorities. Further information will be posted as it becomes available.