Disciplined Persons

The disciplined persons list is intended to assist the public and the securities industry in conducting due diligence. This list reveals the names of all persons disciplined by the Alberta Securities Commission since 2005, the Autorité des marchés financiers since 2004, the British Columbia Securities Commission since 1987, the Bureau de décision et de révision en valeurs mobilières since 2004, the Manitoba Securities Commission since 1999, the New Brunswick Securities Commission since 1991, the Nova Scotia Securities Commission since 2002, the Ontario Securities Commission since 1997, the Saskatchewan Financial Services Commission since 2005 and the Quebec provincial court since 2004. This list also includes the name of persons whose sanctions have now expired.

Administrative tribunal hearing decisions and settlement agreements are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, we consider it important to make this type of information readily available. For due diligence purposes, we also consider it essential that the list remain complete. This is why we identify all persons that have been subject to sanctions, no matter how serious and whether or not the sanctions have expired. 

Browse Alphabetical List

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Latest 10 Disciplined Persons

Name Date of Order
Lepitre, Michael Edward August 26, 2010
Jones, Mark Adrian August 26, 2010
Zielke, Leonard Jonathan August 26, 2010
Rutledge, David August 13, 2010
Mainse, Ronald August 13, 2010
Vanier, Robert Joseph (aka Carl Joseph Gagnon) August 09, 2010
Xanthoudakis, John August 06, 2010
Smith, Dale August 06, 2010
Kefalas, Peter August 06, 2010
Krikke, Vernon Arnold July 28, 2010

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Related Information 

This list does NOT include discipline actions taken by regulatory organizations such as the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA), and the Chambre de la sécurité financière (in Québec only). To find out whether a registered firm or individual has been disciplined by these organizations, please contact them directly.

Please note that additional information on your search results may be available on the CSA member’s website of the sanctioning jurisdiction.