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

  • 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.



License Type

Notice Date (MM/DD/YYYY)




NameTypeLicense TypeLicense #SectorRelated FilesStatusNotice Datesorted descending
Canadian Securities InstituteEnforcement ActionCredentialDesignated Financial Services AdvisorFinancial Planners and Financial AdvisorsNoConcluded05-23-2024
Esther Gerstel Inc.Enforcement ActionUnlicensedMortgage BrokeringYesOngoing05-16-2024
Harold GerstelEnforcement ActionMortgage AgentM11000452Mortgage BrokeringYesOngoing05-16-2024
Harold the Mortgage Closer Inc.Enforcement ActionMortgage Brokerage12580Mortgage BrokeringYesOngoing05-16-2024
Glendale Financial Group LtdWarningUnlicensedInsuranceNoConcluded05-14-2024
Sunray Federal Credit UnionWarningUnlicensedCredit Unions and Deposit InsuranceNoConcluded05-13-2024
Forest City Funding Inc. Enforcement ActionMortgage Brokerage10671Mortgage BrokeringYesOngoing05-07-2024
William Handsaeme Enforcement ActionMortgage BrokerM08000225Mortgage BrokeringYesOngoing05-07-2024
Dewan AhmedEnforcement ActionUnlicensedMortgage BrokeringNoOngoing05-01-2024
Gowthaman BalachandranEnforcement ActionUnlicensedMortgage BrokeringYesOngoing04-29-2024

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