Disciplined Persons

The disciplined persons list is intended to assist the public and the securities industry in conducting due diligence. The list contains the names of persons disciplined by the following agencies:

  • the Alberta Securities Commission since 1987; 
  • the Autorité des marchés financiers since 2007;
  • the British Columbia Securities Commission since 1987;
  • the Bureau de décision et de révision (Québec) since 2007;
  • Financial and Consumer Services Commission (New Brunswick) since 2005;
  • the Manitoba Securities Commission since 1999;
  • the Nova Scotia Securities Commission since 2002;
  • the Ontario Securities Commission since 1997;
  • the Saskatchewan Financial Services Commission since 2005;
  • the Québec courts since 2007;
  • the Investment Industry Regulatory Organization of Canada (IIROC) since 2004;
  • the Mutual Fund Dealers Association of Canada (MFDA) since 2004; and
  • the Chambre de la sécurité financière since 2001.

Administrative tribunal hearing decisions and CSA member decisions are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, CSA members consider it important to make this type of information readily available. This is why we give the names of persons who have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.

Also, please note that as of July 1, 2015, certain orders made in other provinces or territories will automatically take effect in Alberta. For more information, contact the Alberta Securities Commission or review its website at www.albertasecurities.com.

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
Zeiben, Lawrence February 04, 2016
Dhala, Hussain February 02, 2016
Guan, Lianyun January 28, 2016
Gowing, Catherine Ann January 28, 2016
Coelho, Jose January 28, 2016
Thiessen, Robert James January 27, 2016
DiNardo, Paul Camillo January 25, 2016
Penko, Renee Michelle January 14, 2016
Beilstein, Irene G. January 14, 2016
Weigel, Dennis Carl January 14, 2016

The CSA presents this information as a plain language summary of information found in publicly available documents. The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.

Sign up to the CSA's e-mail subscription services for immediate notice of additions to the disciplined persons list.

Related Information 

The Chambre de la sécurité financière (Québec only) oversees professionals who work in five sectors, namely group savings plan brokerage, financial planning, insurance of persons, group insurance of persons and scholarship plan brokerage. This list only includes disciplinary decisions relating to securities. For all other sectors, please contact them directly.

Additional information regarding your search results can also be found on the websites of the issuing CSA members or by contacting directly Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association (MFDA) and la Chambre de la sécurité financière (Québec only).