Rider Penalties
- V Colgan | Levin 24 November; careless riding; suspended 27 November – 2 December inclusive.
- S Toolooa | Central Otago 25 November; careless riding; suspended 28 November – 3 December inclusive.
- K Mudhoo| Central Otago 25 November; careless riding; suspended 28 November – 7 December inclusive.
- Y Atchamah | Central Otago 25 November; careless riding; suspended 28 November – 3 December inclusive.
- C Zackey | Waikato 26 November; careless riding; suspended 7-16 December inclusive.
- C Butler | Waikato 26 November; excessive use of whip; fined $250.
- L Kauri | Wanganui 26 November; excessive use of whip; fined $250.
- J Fawcett | Otago 27 November; careless riding; suspended 4-17 December inclusive.
Trainer Penalties
- I Dornan | Waikato 26 November; failed to scratch runner by required time; fined $350.
- T Pike | Waikato 26 November; incorrect gear; fined $50.
- S Marsh | Waikato 26 November; late rider declarations; fined $300.
- T Pike | Waikato 26 November; late rider declaration; fined $50.
Horse Penalties
- MR EXPLOSIVE | Avondale 23 November; cardiac arrhythmia; veterinary clearance required.
- REDGUM | Central Otago 25 November; cardiac arrhythmia; veterinary clearance required.
- FARAH | Central Otago 25 November; unsatisfactory performance; must complete trial.
- WHEELITIN | Wanganui 26 November; late scratching after becoming fractious in barrier; must complete trial.
- THE LAST THYME | Otago 27 November; wind issue; veterinary clearance required.