Make an informed choice when looking for services within the sectors we regulate. This page lists enforcement actions and warning notices for individuals or companies that are not following the law. Enforcement actions are formal legal actions initiated by FSRA against individuals or organizations.  Warning notices are news items that inform you about individuals or organizations that FSRA believes may be involved in activities that could put you at risk.

View enforcement actions and warnings

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Sector

License Type

Notice Date (MM/DD/YYYY)

Status

From

To


NameTypeLicense TypeLicense #SectorRelated FilesStatusNotice Datesorted descending
Valor Financial Corp.Enforcement ActionMortgage Brokerage13114Mortgage BrokeringYesConcluded06-18-2024
Mai Anh (Cindy) TranEnforcement ActionMortgage AgentM08002869Mortgage BrokeringNoOngoing06-17-2024
Sandy Leigh UlrichEnforcement ActionInsurance Agent04085189Life and Health InsuranceNoConcluded06-10-2024
Wilson Yip ChauEnforcement ActionUnlicensedM20001918Mortgage BrokeringNoConcluded06-05-2024
ivariEnforcement ActionInsurance Company768DLife and Health InsuranceNoConcluded05-31-2024
Gurpreet Singh GhumanEnforcement ActionUnlicensedInsuranceYesOngoing05-30-2024
Industrial Alliance Insurance and Financial Services Inc.Enforcement ActionInsurance CompanyInsuranceYesConcluded05-30-2024
World Financial Group Insurance Agency of Canada Inc.Enforcement ActionCorporate Insurance Agency26687MLife and Health InsuranceYesConcluded05-30-2024
World Financial Group Insurance Agency of Canada Inc.Enforcement ActionCorporate Insurance Agency26687MLife and Health InsuranceNoConcluded05-30-2024
Canadian Securities InstituteEnforcement ActionCredentialDesignated Financial Services AdvisorFinancial Planners and Financial AdvisorsNoConcluded05-23-2024

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