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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 |
|---|---|---|---|---|
| Ng, Seung Tung | 16 June 2016 | $160,000 | ON | None |
| Nguyen, Quan | 5 March 2019 | $81,500 | ON | None |
| Nieswandt, Rodney Joseph | 1 November 2018 | $150,000 | SK | None |
| Noronha, Jayanth | 13 March 2017 | $930,129 | ON | None |
| Notis, Israel (Steve) | 7 October 2019 | $40,000 | ON | Partial |
| Nott, Kenneth | 30 April 2011 | $22,500 | ON | None |
| Nunweiler, Conrad | 7 March 2012 | $265,000 | BC | Partial |
| Nyquvest, Shayne Ian Frederick | 16 December 2021 | $39,000 | BC | Partial |
| O'Brien, Joshua | 9 December 2021 | $10,000 | NL | Partial |
| O'Brien, Leo | 25 November 2008 | $65,000 | NL | None |
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