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Wealth Professional | 17 Jun 2014, 01:02 PM Agree 0
A new list tallies the names of advisors who have yet to pay fines.
  • Doug McCaw | 22 Jun 2014, 08:06 AM Agree 0
    A good start, post the IIROC link to the list.
  • Advisor | 30 Jun 2014, 04:38 PM Agree 0
    What a total waste of time! This isn't going to help investors stay away from dubious advisors. No one on this list is licensed with IROC anymore.
  • Can I get a whatwhat? | 04 Nov 2014, 01:02 PM Agree 0
    Exactly, a waste of time.
  • Can I get a whatwhat? | 04 Nov 2014, 01:03 PM Agree 0
    This makes no sense to report. i dont get it
  • Barry Bonds | 04 Nov 2014, 01:03 PM Agree 0
    Hey I dont get it
  • Peter Whitehouse | 07 Jun 2015, 10:57 PM Agree 0
    Where are the names of the employers of this individuals who IIROC has found to be guilty of violations ?

    Shame, shame. Why are the employer Compliance departments also not up for penalties? Shame, shame on IIROC.
  • Peter Whitehouse | 08 Jun 2015, 02:53 PM Agree 0
    The list is fine but who are the employers of these individuals ? Shame, Shame, where was the Dealer Compliance Dept monitoring these individuals ? They are the ones who should also be penalized
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