Disciplined Persons List

Sign up to receive immediate immediate notice of additions to the disciplined persons list.

This page lists persons that the British Columbia Securities Commission has disciplined since 1987, including persons whose sanctions have now expired.

Hearing decisions and settlements are part of the British Columbia Securities Commission's public record of its regulatory activities.  As the government agency responsible for protecting investors and the integrity of the securities markets, we consider it important to make this type of information readily available.  For due diligence purposes, we also consider it essential that the list remain complete.  This is why we identify all persons that have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.  

You can check the payment status for financial penalties sanctioned since our incorporation on April 1, 1995 using the Sanction Payment Status Report. The report is updated each Monday by 4:00 pm.
 
Please visit the Canadian Securities Administrator's (CSA) Canadian Securities Administrator's (CSA) Disciplined Persons List New window. It is a complete list of disciplinary actions and includes information from all of Canada's provincial and territorial securities commissions, the Investment Industry Regulatory Organization of Canada (IIROC), and the Mutual Fund Dealers Association of Canada (MFDA).

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
Name
Date of Order
January 25, 2010
December 3, 2002
August 21, 2001
December 31, 2007
December 14, 2009
October 15, 2012
January 16, 2014
May 30, 2007
January 23, 2004
June 12, 2008
December 27, 1989
March 13, 2014
June 21, 2007
March 7, 2003
September 8, 2010
May 14, 1992
April 6, 1992
September 10, 1998
August 12, 1998
May 18, 2004
December 22, 2011
February 12, 1999
October 14, 1992
November 8, 2002
October 1, 2013
January 15, 1988
November 13, 1993
January 20, 2011
February 18, 1997
November 10, 1995
October 3, 1996
July 28, 1997
January 20, 2011
November 11, 2010
May 26, 2011
May 23, 2012
January 29, 1999
June 19, 1989
May 14, 2010
November 16, 1990
April 21, 1995
May 26, 1998
December 22, 2011
December 19, 2013
January 22, 2014
March 4, 2005
November 13, 1993
April 2, 2004
February 16, 1999
August 12, 2008
December 22, 2011
January 17, 2014
June 10, 2008
June 23, 2010
October 29, 2010
August 28, 1996
August 28, 1996
October 14, 1992
September 29, 1993
February 7, 1997
September 8, 2010
December 22, 1999
March 30, 1990
January 29, 2002
May 14, 2010
September 3, 1992
February 2, 1990
October 1, 1992
May 30, 1999
September 6, 1996
June 1, 2010
December 5, 2003
December 5, 2003
December 5, 2003
October 14, 1992
April 30, 1992
May 9, 1989
June 30, 1989
August 29, 2003
September 8, 2010
April 5, 2011
January 19, 2000
July 7, 2009
January 29, 2007
April 22, 2009
May 12, 2006
April 5, 2011
October 9, 2007
September 8, 2010
July 17, 1998
July 17, 1998
March 19, 2004
April 28, 2006
December 22, 2011
February 20, 2008
November 19, 2001
October 22, 2008
October 22, 2008
December 14, 1999
July 28, 2004
December 17, 1987
April 5, 2005
July 7, 2011
January 29, 2007
September 6, 2002
February 7, 2011
July 22, 1994
July 15, 2008
July 15, 2008
January 21, 2009
January 31, 2011
July 7, 2009
October 16, 1997
August 21, 1996
June 18, 2009
May 31, 1988
December 11, 1989
October 22, 1997
November 25, 1988
June 30, 1988
June 28, 2000
February 2, 1990
February 4, 2003
January 22, 1997
September 8, 2010
March 13, 1997
April 15, 1991
March 31, 2000
March 13, 2014
December 20, 2013
January 16, 2014
October 17, 2006
March 19, 1999
November 4, 1996
May 14, 1992
June 15, 2006
November 9, 1994
July 15, 2008
February 21, 2006
January 25, 2010
November 17, 2004
February 25, 1999
February 7, 1997
April 11, 1996
May 14, 2010
July 7, 2009
December 19, 1989
July 17, 1992
April 21, 1995
December 28, 1995
November 19, 2004
May 23, 2003
May 23, 2003
April 5, 2011
April 5, 2011
December 4, 1997
April 22, 2002
March 22, 2001
August 28, 2009
November 10, 1998
April 29, 1992
July 7, 2011
July 15, 2008
November 15, 2005
February 15, 1996
December 3, 2012
February 10, 2005
March 14, 2014
August 27, 1992
June 15, 1990
June 1, 2005
January 22, 2014
January 29, 2007
February 12, 2001
November 11, 2010
January 20, 2011
March 31, 2000
October 17, 1996
December 3, 2002
December 7, 1995
January 29, 1999
September 25, 2001
October 26, 2006
October 14, 1999
April 4, 1995
December 17, 1987
January 22, 2009
March 13, 2014
April 28, 2005
December 7, 1998
April 5, 2011
September 11, 2009
December 22, 2011
February 2, 1991
May 13, 1993
February 18, 1992
April 3, 2012
June 12, 1991
January 9, 2001
February 26, 1993
June 6, 2005
December 31, 2007
April 1, 1997
October 2, 2001
October 13, 1993
June 8, 1993
February 28, 2000
April 22, 2003
December 14, 1999
December 24, 2012
March 13, 2014
February 17, 2004
February 22, 2001
May 9, 2005
October 26, 2006
June 29, 1994
September 18, 1998
October 9, 1997
October 14, 1992
October 25, 2011
November 29, 2012
August 21, 2001
April 22, 2009
May 14, 2003
July 7, 1992
January 14, 1997
November 30, 2010
December 30, 1992
November 14, 2001
November 14, 2001
December 30, 1992
November 8, 2002
December 30, 1992
July 14, 1999
March 31, 2008
August 12, 2008
November 22, 2004
November 18, 1997
April 7, 2008
March 4, 1999
October 1, 2013
August 2, 1988
October 26, 2001
January 7, 2000
July 15, 2008
September 8, 2010
July 9, 2009
April 21, 1998
October 7, 2009
October 22, 1997
September 22, 1999
April 23, 2003
May 17, 2001
March 19, 1999
December 4, 1998
September 14, 1999
March 4, 1999
October 24, 2008
November 19, 2001
October 12, 2011
June 8, 2007
December 5, 1989
September 17, 1997
July 9, 1991
April 5, 2011
May 10, 2002
June 18, 2013
January 29, 2007
December 31, 2004
December 30, 1998
July 15, 2008
February 3, 1993
May 19, 1994
February 22, 2012
May 14, 2010
February 2, 1989
January 21, 2009
December 4, 2001
July 12, 2005
November 19, 2001
April 14, 1998
July 24, 2006
November 25, 2005
September 8, 2010
November 22, 1991
August 21, 2001
August 23, 1996
May 10, 2002
April 10, 1992
August 12, 1994
April 29, 1992
July 28, 2004
January 16, 2014
March 10, 1989
July 7, 2011
November 22, 1991
September 8, 2010
August 1, 2000
June 6, 2005
September 9, 1992
April 28, 1992
July 25, 1991
January 16, 2014
April 5, 2011
September 25, 2001
October 15, 2003
September 29, 2005
December 22, 1994
February 15, 1996
October 14, 1992
June 25, 2008
November 4, 1997
March 25, 1997
June 24, 1999
November 10, 2004
February 2, 1993
February 25, 1999
November 10, 1995
March 16, 1989
September 20, 2002
May 8, 2002
May 6, 1993
April 30, 2003
June 28, 1991
September 11, 1997
May 18, 2004
July 7, 2009
May 7, 1993
November 10, 2011
September 20, 1993
February 18, 1997
November 18, 1997
September 8, 2010
April 5, 2011
April 25, 2005
November 9, 1995
July 7, 2009
November 3, 1998
June 12, 1991
May 14, 2010
June 25, 2008
June 19, 1989
December 17, 1990
January 13, 2005
August 21, 2001
April 3, 1991
October 4, 2007
October 22, 2008
April 24, 2007
April 24, 2007
January 20, 2011
September 8, 2010
November 11, 2010
December 1, 2006
October 19, 2000
October 24, 2008
June 1, 2001
February 25, 1999
November 26, 1998
July 18, 2000
October 18, 1993
January 20, 2011
September 5, 1997
July 7, 2009
August 2, 1988
March 10, 1989
August 2, 1988
September 11, 2002
September 10, 1998
January 19, 2009
December 28, 1995
March 19, 1999
May 30, 2007
March 21, 2006
June 2, 1999
December 22, 1999
October 22, 2008
January 29, 2002
May 13, 1993
June 27, 2011
February 4, 2010
November 10, 1998
October 21, 2008
February 15, 2001
September 3, 1997
September 3, 1997
July 18, 2012
November 6, 2001
December 14, 2010
January 25, 2010
May 14, 2010
November 19, 2001
February 8, 1996
February 9, 1998
October 17, 2006
May 28, 2004
April 5, 2004
March 20, 2000
March 20, 2000
August 21, 1996
January 7, 2004
May 14, 2010
December 19, 2013
March 6, 2006
December 22, 1994
October 14, 1992
September 7, 1999
October 1, 1992
January 16, 2014
February 14, 2000
February 16, 1999
January 20, 2011
October 14, 1992
April 7, 2008
March 10, 1989
September 11, 2002
November 30, 2006
July 7, 2011
January 20, 2010
October 7, 2010
August 15, 1997
December 5, 1988
February 5, 1996
June 7, 1995
October 14, 1992
August 12, 2008
July 7, 2009
June 7, 1995
December 21, 1987
November 19, 2001
August 29, 2008
April 15, 2004
June 25, 2008
January 20, 2011
October 22, 1997
August 29, 2008
August 12, 1999
August 12, 1999
May 8, 2001
March 24, 1994
November 3, 1998
April 8, 1992
March 30, 1990
June 28, 1988
June 30, 1988
January 20, 1998
January 20, 1998
June 13, 1991
April 23, 1992
July 7, 2009
February 14, 2000
June 13, 2002
February 14, 2000
February 15, 1996
July 7, 2009
March 25, 1997
February 16, 1999
August 29, 1989
January 16, 2014
April 6, 1999
August 15, 1997
September 9, 2003
April 26, 1993
January 21, 2009
June 4, 1993
November 25, 1988
March 10, 1989
July 15, 2008
November 4, 1997
February 2, 1990
January 21, 2009
January 29, 2009
May 14, 2010
March 22, 2001
February 7, 1997
April 25, 2005
February 20, 1996
August 25, 2004
April 17, 1990
May 9, 2005
February 11, 2010
March 22, 2005
September 9, 2005
August 30, 2011
July 7, 2009
March 20, 2006
July 15, 2008
March 16, 2000
January 20, 2011
April 25, 1995
November 6, 2009
March 20, 2006
May 14, 2010
March 16, 2001
April 5, 2011
June 16, 2008
October 22, 2009
June 16, 2008
September 8, 2010
May 14, 1992
June 10, 2008
April 28, 1995
March 22, 2001
January 25, 2010
December 22, 2011
August 29, 1989
March 18, 1996
June 21, 1991
October 21, 2013
June 4, 1993
July 9, 2009
January 16, 2014
January 12, 1990
January 21, 2010
March 17, 1989
November 10, 1995
November 10, 1995
May 14, 2010
August 21, 2007
July 18, 2013
February 26, 1991
February 26, 1991
August 28, 2009
December 19, 1988
September 29, 2005
November 17, 2004
March 16, 2000
July 15, 2008
March 13, 1997
March 22, 2001
January 31, 1990
January 21, 2004
July 13, 2006
December 1, 2006
May 25, 1999
October 14, 1992
May 14, 2010
May 10, 2002
April 30, 1993
May 2, 2013
January 25, 2010
December 16, 2002
January 25, 2007
March 31, 2005
February 16, 1999
November 20, 1989
April 4, 1995
April 4, 1995
February 18, 1997
March 17, 1989
February 11, 2005
January 22, 2009
May 6, 2011
March 29, 2012
August 12, 2008
July 15, 2008
March 31, 2005
February 17, 1992
January 21, 2009
August 21, 2001
November 22, 1999
November 24, 1999
September 9, 2009
July 15, 1992
September 14, 2007
November 23, 2001
October 31, 2005
November 25, 1988
June 15, 1990
June 15, 1990
December 17, 1990
March 30, 1990
July 7, 1992
October 27, 2005
August 21, 2001
June 24, 2009
October 13, 2000
October 7, 2010
June 24, 2013
October 16, 1997
March 31, 2000
August 24, 1993
December 17, 1990
November 24, 2000
July 21, 1998
January 22, 2014
April 5, 2011
October 11, 1996
November 17, 1992
February 20, 2008
April 5, 2011
January 26, 1998
December 13, 2005
January 13, 1992
December 17, 1987
March 31, 2000
April 5, 2011
July 7, 2011
November 8, 2002
April 14, 1989
July 13, 1989
June 19, 2001
December 8, 2011
October 1, 2013
September 10, 1997
September 5, 2003
April 22, 2009
March 25, 1997
June 12, 2008
October 22, 2008
May 14, 2010
February 15, 1996
November 19, 2001
April 28, 1995
February 12, 2007
March 17, 1989
January 29, 2009
February 15, 2008
January 25, 2000
July 15, 2008
January 16, 2014
August 31, 2005
September 29, 2005
October 22, 2009
December 13, 2012
February 6, 1995
March 9, 2007
July 15, 2008
June 25, 2008
May 6, 2005
February 8, 2010
December 21, 1990
September 13, 1996
March 14, 2014
August 21, 2001
December 14, 2007
April 9, 1999
March 4, 1992
October 12, 1989
August 15, 2008
August 15, 2008
August 15, 2008
April 5, 2011
May 14, 2012
January 21, 2004
November 30, 1993
October 12, 2000
October 12, 2000
October 14, 1992
October 24, 2008
July 15, 2008
December 19, 1989
June 21, 2011
December 9, 1999
September 8, 2010
October 4, 2006
December 19, 1989
January 22, 2014
January 13, 1992
February 16, 1999
August 21, 2007
August 29, 1989
June 6, 2012
December 4, 1997
July 7, 2009
April 5, 2011
September 9, 2005
March 25, 1997
May 21, 2002
May 21, 2002
December 19, 1989
July 15, 2008
January 30, 2009
August 5, 1998
January 25, 2010
April 15, 1997
September 8, 2010
July 15, 2005
January 25, 2000
December 16, 2002
February 15, 1996
September 18, 1989
February 16, 2000
October 10, 1989
July 7, 2009
July 27, 2004
October 10, 1989
March 20, 2001
January 20, 2011
May 14, 2010
February 29, 1996
July 7, 1992
March 13, 2014
March 20, 2000
March 28, 2008
February 25, 2000
October 30, 2002
January 20, 1998
October 3, 2012
February 16, 1994
December 7, 1999
June 17, 2004
January 17, 2003
December 10, 1991
November 25, 1988
June 14, 1989
June 28, 2007
October 14, 1992
January 22, 2014
January 22, 2014
November 29, 2012
October 30, 2002
March 8, 2004
July 7, 2011
December 12, 1995
April 5, 2011
November 13, 2012
July 22, 1994
November 12, 1998
June 15, 2000
July 15, 2008
May 14, 2010
December 18, 2000
January 25, 2007
April 18, 2006
April 18, 2006
December 22, 2011
April 18, 2006
October 16, 2007
June 28, 2000
August 31, 2001
April 21, 1995
August 21, 1996
March 27, 1996
August 10, 2009
June 18, 2009
August 12, 2008
January 25, 2010
October 22, 2002
February 18, 2004
June 30, 2006
August 23, 2005
November 3, 2004
November 3, 2004
October 22, 1997
July 7, 2011
July 15, 2008
November 11, 2010
March 7, 2005
October 9, 1997
October 22, 2009
January 22, 2014
November 19, 2001
November 19, 2001
September 14, 2010
October 7, 2010
April 14, 1998
April 14, 1998
November 28, 1989
July 29, 1996
June 16, 2008
August 18, 1989
January 21, 2009
September 12, 2000
November 19, 2001
April 22, 2009
July 31, 2007
October 14, 1992
March 5, 2012
December 24, 2004
November 28, 2000
January 16, 2014
January 12, 1990
February 18, 1997
February 4, 2004
December 3, 2002
April 24, 1998
October 14, 1992
May 14, 2010
September 8, 2010
December 19, 1989
January 12, 1990
January 12, 1990
October 16, 1997
January 25, 2007
December 19, 1989
February 13, 2006
June 17, 1993
February 17, 2011
April 7, 2010
August 29, 2008
May 9, 2005
June 24, 2008
January 25, 2010
June 7, 1995
October 25, 2004
February 12, 1997
July 7, 2011
December 20, 2002
December 7, 1998
January 30, 2009
November 23, 1995
March 12, 1992
July 7, 2009
January 20, 2011
January 17, 2014
December 3, 2012