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Completed Hearings

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.

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.
Regarding File No. Location Order Payment Status Hearings Documents
Abate, Paolo 201412 Toronto Paid View details
Ackerman, Gilbert John 201734 Saskatoon Paid View details
Adair, Mirella 201681 Calgary Paid View details
Adams, Barry 200909 Saint John N/A View details
Adams, William Morris 201255 & 201258 Toronto Paid View details
Addison, Blair 201338 Toronto Paid View details
Addison, Blair Harcourt 2018128 Mississauga Unpaid View details
Adeola, Tolu 201401 Toronto Unpaid View details
Agarwal, Satya 201504 Mississauga Unpaid View details
Aitken, Judith Rosemary 201794 Burlington Paid View details