IIROC - Investment Industry Regulator of Canada

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This database contains documents related to cases dating back to March, 2003. For earlier enforcement Notices and Hearing documents, please contact IIROC by phone at 1.877.442.4322.

To see public disciplinary-related information about IIROC-regulated firms or individual registrants, please type the individual’s name, keyword or firm in the appropriate search box.

To run a background report on the registration status, employment history and disciplinary record, if any, of a current advisor at any IIROC-regulated firm, use the IIROC AdvisorReport service.

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Latest Disciplinary Cases

Release Date	Title
5/21/2013	In the Matter of John Winston Lang – Settlement Hearing
5/17/2013	In the Matter of Roger Michael Biduk – Penalty Hearing	Related Documents
5/17/2013	In the Matter of Shelley Blanchard – Discipline decision – Liability and Penalty	Related Documents
5/15/2013	In the Matter of Robert Jay Kilgannon – Settlement Hearing
5/14/2013	In the Matter of Lawrence Bradley Chang – Discipline Hearing	Related Documents
5/10/2013	In the Matter of Glenn Arthur Taggart – Settlement Accepted	Related Documents
5/8/2013	In the Matter of Roger Michael Biduk – Discipline decision – Liability	Related Documents
5/3/2013	In the Matter of Rajiv Puri – Appearance to set a hearing date	Related Documents
5/2/2013	In th Matter of Guy François Brunet – Settlement Hearing
5/2/2013	In the Matter of Guylaine Raby – Settlement Hearing

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