| 2024-05-09 20:53 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites Assante ex O'Reilly over client borrowing |
| 2024-05-07 08:13 | CC:*CIRO | Canadian Investment Regulatory Organization | | In the News525 | Globe says CIRO to use new enforcement tool |
| 2024-05-01 07:39 | CC:*CIRO | Canadian Investment Regulatory Organization | | In the News525 | Globe says CIRO alleges Echelon was loose with trades |
| 2024-04-25 18:02 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO pursues former Royal Mutual employee Allison |
| 2024-04-05 20:20 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines BMO Nesbitt Burns $1.5-million |
| 2024-03-28 21:06 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO pursues Echelon Wealth over OTC business |
| 2024-03-11 21:18 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Fortrade Canada $2-million |
| 2024-02-13 20:52 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO permanently bans former PFSL employee Sukhai |
| 2024-02-09 20:14 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO bans CIBC ex Fan over forged account documents |
| 2024-02-07 20:39 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines, permanently bans Ng associate Metcalfe |
| 2023-12-28 20:24 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Canaccord $475,000 over clients' wash trades |
| 2023-12-22 20:38 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Leede over offshore client's trading |
| 2023-12-20 20:59 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO finds PI ex Metcalfe liable for loan scheme |
| 2023-12-01 20:27 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO claims Toronto firm manipulated Liberty Health |
| 2023-11-13 20:27 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites Hampton's Deeb for risky trades, short sales |
| 2023-11-10 20:38 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites Nat'l Bank ex Roland for dodgy transfers |
| 2023-11-03 20:35 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO permanently bans National Bank ex Au-Young |
| 2023-10-25 20:21 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO pursues Englesby, Nishimura over dodgy clients |
| 2023-10-19 20:47 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO ordered to rethink penalties for CIBC ex Odorico |
| 2023-08-09 20:34 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO suspends iA Private Wealth's Spooner for two years |
| 2023-08-02 20:34 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Richardson Wealth's Reyes, again |
| 2023-07-28 20:18 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO imposes $75,000 in sanctions on Scotia ex Hunter |
| 2023-07-25 20:31 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Red Cloud Securities for retail placements |
| 2023-07-20 20:40 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites PI's Hildebrandt over questionable trades |
| 2023-06-22 19:31 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Scotia ex Arnold for supervisory failures |
| 2023-06-16 16:56 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO orders Research Capital's Barber to pay $57,776 |