Disciplined Persons List

This webpage lists persons that the British Columbia Securities Commission has disciplined since 1987, including persons whose sanctions have now expired.
 
Please visit the Canadian Securities Administrator's (CSA) Disciplined Persons List, available on the enforcement section of the CSA's website. 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).

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.  

Sign up for BCSC's e-mail subscription services for immediate notice of additions to the disciplined persons list.

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.

You can also check the restitution page for information about restitution that may be available for BC victims.