Alert:
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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 |
|---|---|---|---|---|
| Smith, Daniel Edward | 11 April 2016 | $55,000 | BC | None |
| Smith, David Kenneth | 6 November 2009 | $54,329 | BC | None |
| Smith, Kenneth Edward | 4 June 2018 | $145,000 | BC | None |
| Smith, Mark | 24 September 2021 | $145,000 | ON | None |
| Smith, Michael Rolland | 2 June 2025 | $1,529,879.41 | NS | None |
| Smith, Preston Henry | 5 April 2019 | $105,000 | AB | None |
| Smith, Richard Stanford | 20 April 2016 | $11,500 | ON | None |
| Smith, Stephen Arnold | 8 February 2011 | $83,500 | ON | None |
| Smockum, Stephen | 8 February 2023 | $285,000 | ON | None |
| Snow, David | 25 November 2008 | $15,000 | NL | None |
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