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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 |
|---|---|---|---|---|
| Powell, Anne Katrina | 10 November 2014 | $5,000 | AB | None |
| Pretty, George | 2 July 2014 | $130,000 | NL | None |
| Prior, Glenn | 17 January 2013 | $25,000 | ON | None |
| Puri, Rajiv | 20 January 2014 | $46,000 | ON | None |
| Puri, Ravi Lal | 26 October 2007 | $560,000 | BC | None |
| Putzi, Ronald Anton | 24 June 2017 | $27,500 | BC | Partial |
| Qi, Zhengwen Katherine | 30 October 2013 | $25,000 | ON | None |
| Quigley, John Allen | 28 May 2007 | $297,500 | ON | None |
| Rada, Marcel Anil | 2 May 2011 | $85,000 | BC | None |
| Rai, Prabhdyal Singh | 24 July 2019 | $87,500 | ON | Partial |
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