Alert:
A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Unpaid Fines Report
The Unpaid Fines Report is for information purposes only and is updated on a quarterly basis. The report lists individuals who failed to pay fines, disgorgement, or the costs imposed as a result of an enforcement proceeding before a CIRO Hearing Panel (or a prior IIROC or MFDA Hearing Panel).
Updated as of September 30, 2023
Unpaid Fines Report
| Individual | Date of Penalty Decision or Settlement Agreement | Amount of Fine, Disgorgement (if any) and/or costs | Province | Amount Paid |
|---|---|---|---|---|
| Wolfenden, John | 2 October 2017 | $10,000 | ON | Partial |
| Woloshen, James John | 20 June 2011 | $107,500 | ON | None |
| Wong, Albert Ying Yuen | 8 June 2023 | $11,000 | AB | Partial |
| Wong, Hector | 29 October 2010 | $125,000 | ON | None |
| Wood, Daryl William | 14 October 2014 | $15,000 | BC | None |
| Wood, James | 4 April 2017 | $55,535 | PE | None |
| Woodward, Adam William | 12 February 2018 | $500,000 | AB | None |
| Yahn, Boyd | 7 September 2017 | $85,000 | SK | None |
| Yanaky, Daniel | 17 March 2015 | $5,000 | ON | None |
| Yang, Cuiqin | 8 March 2018 | $85,000 | ON | Partial |