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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 December 31, 2024
Unpaid Fines Report
| Individual | Date of Penalty Decision or Settlement Agreement | Amount of Fine, Disgorgement (if any) and/or costs | Province | Amount Paid |
|---|---|---|---|---|
| Jones, Catherine Deborah | 25 December 2015 | $63,000 | BC | None |
| Jones, Chris | 21 January 2011 | $76,400 | ON | None |
| Jones, James Gwilym | 10 August 2012 | $210,000 | AB | None |
| Jones, Michael | 24 March 2011 | $43,000 | ON | None |
| Karas, David | 1 June 2015 | $770,000 | ON | None |
| Kassam, Alykhan | 18 September 2019 | $15,000 | BC | None |
| Kelly, Scott | 17 January 2013 | $55,000 | ON | None |
| Kelly, Simon Christopher | 18 January 2024 | $80,000 | AB | None |
| Kendrick, Paula | 16 January 2018 | $37,000 | AB | Partial |
| Kent, Linda | 16 February 2011 | $245,000 | ON | None |
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