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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 |
|---|---|---|---|---|
| Kumar, Brian Anish | 19 August 2015 | $55,000 | ON | None |
| KUMAR, NEIL | 27 March 2019 | $260,000 | ON | None |
| Kwok, Bjorn | 28 September 2017 | $2,500 | ON | Partial |
| Lalonde, Pierre | 7 February 2012 | $160,000 | QC | None |
| Lam, Hong | 19 October 2018 | $260,000 | ON | Partial |
| Lam, Leo | 22 November 2018 | $107,500 | AB | Partial |
| Lambert, James Dale | 5 April 2013 | $13,000 | SK | None |
| Lann, Ronald | 14 January 2013 | $115,000 | QC | Partial |
| Laroche, Alain | 9 May 2012 | $25,000 | QC | None |
| Larson, Wayne | 27 August 2009 | $212,500 | AB | Partial |
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