| 2024-12-06 19:48 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines, suspends two former Stifel employees |
| 2024-12-03 20:09 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO bans Miller associate Lunam for 18 months |
| 2024-11-28 09:00 | CC:*CIRO | Canadian Investment Regulatory Organization | | In the News525 | Post says OSC, CIRO examine mutual-fund sales pitches |
| 2024-11-27 08:40 | CC:*CIRO | Canadian Investment Regulatory Organization | | In the News525 | Globe says OSC, CIRO eye banks' high-pressure tactics |
| 2024-11-15 20:41 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Desjardins over supervisory failures |
| 2024-11-12 20:35 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites Calgary's Hartwell for supervisory failures |
| 2024-11-04 20:14 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO bans Echelon ex Debus for 18 months |
| 2024-10-30 20:06 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO finds against Assante ex O'Reilly for client loans |
| 2024-10-28 19:47 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO bans former National Bank employee Roland |
| 2024-10-11 20:12 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Clarus $425,000 over Liberty Health trades |
| 2024-10-08 20:30 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO bans former Scotia Securities employee Baggs |
| 2024-09-25 20:03 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites National Bank ex Ewing for falsified records |
| 2024-09-04 20:05 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO appeals after losing to PI's Englesby, Nishimura |
| 2024-09-03 21:05 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO finds Echelon ex Debus in conflict of interest |
| 2024-08-28 20:19 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO fines Stifel $475,000 for supervision failures |
| 2024-08-08 20:25 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO dismisses case against PI's Englesby, Nishimura |
| 2024-07-18 07:07 | CC:*CIRO | Canadian Investment Regulatory Organization | | In the News525 | Post/CP say CIRO wants you to know they're roughy-tough |
| 2024-06-04 20:24 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites former Quadrus employee Griffioen |
| 2024-05-28 20:19 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO cites ex Scotia employees for abusing bonus system |
| 2024-05-21 20:38 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO pursues former Assante employee Lunam |
| 2024-05-15 20:51 | CC:*CIRO | Canadian Investment Regulatory Organization | | Street Wire165 | CIRO pursues Canaccord ex Hall over unsuitable trades |
| 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 |