Enforcement Hearings - Current Cases
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The Notices of Hearing, Notices of Settlement Hearing and Notices of Application on the "Current Cases" page contain unproven allegations. Please refer to the "Completed Cases" page for disciplinary proceedings in which allegations have been proved.

Regarding File No. Location Hearings Documents
A
Abate, Paolo 201412 Toronto View Details > > >
Agarwal, Satya 201504 Toronto View Details > > >
Are, Ayokunnu 201231 Toronto View Details > > >
Aul, Charanjit 201429 Vancouver View Details > > >
B
Brinson, Ronald Bruce 201344 Halifax View Details > > >
C
Caicco, Patrick 201503 Ottawa View Details > > >
Chang, Russell 201431 Vancouver View Details > > >
Chau, Anthony 201406 Toronto View Details > > >
Cheung, Stephen 201502 Vancouver View Details > > >
Cox, Jeffrey 201515 Winnipeg View Details > > >
D
De Backer, Jacqueline 201227 & 201228 Toronto View Details > > >
Dhillon, Sital Singh Harjinder 201410 Toronto View Details > > >
Dhur, Richard J. 201439 Toronto View Details > > >
Ding, Mansu 201518 Toronto View Details > > >
E
Eagan, Conrad 201416 Ottawa View Details > > >
Edmond, Paul 201422 Winnipeg View Details > > >
Ewart, David 201528 Toronto View Details > > >
F
Frank, Gabriel 201407 Toronto View Details > > >
G
Gentile, Gabriele

201042

Halifax View Details > > >
Guglielmi, Michael

201517

Toronto View Details > > >
H
Harrigan, Michael 201415 Dartmouth View Details > > >
Ho, Kitty 201430 Toronto View Details > > >
Hufanda, Abner 201501 Vancouver View Details > > >
L
Laurie, Joseph 201301 Springhill View Details > > >
Li, Shi Jin (Michael) 201527 Toronto View Details > > >
Li, Yan Feng 201434 Toronto View Details > > >
M
MacDonald, Craig 201506 Calgary View Details > > >
Manning, Grant 201513 Toronto View Details > > >
McBurney, Michael Raymond 201522 Toronto View Details > > >
Mckenzie, Sherry 201508 Toronto View Details > > >
Mok, Gerard 201505 Toronto View Details > > >
N
Neeson, James 201525 Toronto View Details > > >
O
Okopny, Edward 201512 Toronto View Details > > >
Oosterveld, Jack 201514 Edmonton View Details > > >
P
Phillips, Christopher 201368 Fredericton View Details > > >
Prueter, Michael 201511 Vancouver View Details > > >
R
Rempel, Edward 201348 Toronto View Details > > >
Rumball, Gerald Daniel 201521 Toronto View Details > > >
Rutley, Neil 201523 Toronto View Details > > >
S
Shah, Tarak 201530 Toronto View Details > > >
Shaw, Frank K. 201437 Toronto View Details > > >
Stuart, James Howard Munro 201524 Toronto View Details > > >
Stuart, Marilyn Dianne 201426 Toronto View Details > > >
Stuart, Walter Howard 201426 Toronto View Details > > >
Sun Life Financial Investment Services (Canada) Inc. 201520 Toronto View Details > > >
T
Tahir, Mohamed 201433 Toronto View Details > > >
TeamMax Investment Corporation 201406 Toronto View Details > > >
Tewahade, Bemelekot 201425 Toronto View Details > > >
Thiessen, Robert 201225 Toronto View Details > > >
V
Vatanchi, Rouzbeh 201430 Toronto View Details > > >
W
Wayne, Clinton 201507 Toronto View Details > > >
Wealth Advisory Services Ltd. 201225 Toronto View Details > > >
W. H. Stuart Mutuals Ltd. 201426 Toronto View Details > > >
Wolfenden, John 201516 Toronto View Details > > >
Wright, John Mark 201321 Toronto View Details > > >
Y
Yeung, Cho Shan 201502 Vancouver View Details > > >
 


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