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. Published enforcement actions and warnings will remain on FSRA's website in perpetuity.
View enforcement actions and warnings
- To locate information for an individual or organization, use the search field or filters.
- When the results appear, select a name from the table to view details.
| Name | Type | License Type | License # | Sector | Related Files | Status | Notice Date |
|---|---|---|---|---|---|---|---|
| Kathy Locke | Enforcement Action | Mortgage Broker | M08003387 | Mortgage Brokering | Yes | Ongoing | 03-18-2026 |
| Margaret (Marg) Green | Enforcement Action | Mortgage Broker | M08005448 | Mortgage Brokering | Yes | Concluded | 03-18-2026 |
| Rebecca Thien Kim Nguyen Do | Enforcement Action | Unlicensed | Mortgage Brokering | Yes | Concluded | 03-16-2026 | |
| Claire Drage | Enforcement Action | Unlicensed | Mortgage Brokering | No | Concluded | 03-11-2026 | |
| Dianne Van Rossum | Warning | Unlicensed | Mortgage Brokering | No | Concluded | 03-09-2026 | |
| Jennifer Iachelli | Enforcement Action | Unlicensed | Mortgage Brokering | Yes | Ongoing | 03-09-2026 | |
| Nicole Geldart | Enforcement Action | Mortgage Agent | M14000548 | Mortgage Brokering | Yes | Ongoing | 03-09-2026 |
| Frank (Frankie) Attard | Enforcement Action | Mortgage Agent | M16001014 | Mortgage Brokering | No | Concluded | 03-05-2026 |
| Mai Anh (Cindy) Tran | Enforcement Action | Unlicensed | Mortgage Brokering | No | Concluded | 03-05-2026 | |
| Shan Jamal | Enforcement Action | Unlicensed | Mortgage Brokering | No | Concluded | 02-25-2026 |
