Warning List

This list contains individuals and companies that appear to be engaging in activities that may pose a risk to investors. The OSC urges investors to be cautious about these individuals and companies.

This list is not exhaustive. You should always check the registration of the individual or company you’re dealing with and research the investment before you buy.

If you’ve been approached by anyone on the list, contact us.

Learn more about why individuals and companies appear on this list.

More about the list

The individuals and companies are on this list because the OSC is concerned that they may be:
  • selling securities or offering investment advice in Ontario, or claiming to sell securities or offer investment advice from Ontario, without being registered in Ontario, and without having an exemption, and/or
  • offering securities without a prospectus when they are required to have one
These individuals and companies have come to our attention through complaints from investors, information from other regulators or our own surveillance activities. If an individual or company is on the list, it does not mean that the Commission has held a hearing or made a finding on them, or made any judgment about the merits of any product they are offering.

If you believe information on the list is inaccurate

Contact us. You will be asked to provide information and/or documentation to support your claim.