Driver Penalties
- A Pyers | Manawatu 8 November; use of whip; suspended 9 November – 9 December inclusive.
- S Boyd | NZ Metropolitan 9 November; use of whip; suspended 12-20 November inclusive.
- M Purdon | NZ Metropolitan 9 November; careless driving; fined $400.
- J Curtin | NZ Metropolitan 9 November; use of whip; suspended 13-26 November inclusive.
- N Rasmussen | NZ Metropolitan 9 November; use of whip; suspended 13 November – 10 December inclusive.
- N Williamson | NZ Metropolitan 12 November; use of whip; fined $200.
- B Williamson | NZ Metropolitan 12 November; careless driving; fined $400.
- J Morrison | NZ Metropolitan 12 November; careless driving; suspended 17-20 November inclusive.
- K Barclay | Invercargill 7 November (heard Winton 14 November); careless driving; suspended 15 November – 3 December inclusive.
- B Barclay | Winton 14 November; use of whip; fined $200.
Trainer Penalties
- G Smith | NZ Metropolitan 9 November; late to present runner on course; fined $200.
- G Anderson & M Love | NZ Metropolitan 12 November; failed to affix gear so as not to come adrift; fined $100.
Horse Penalties
- MAJOR PERRY | NZ Metropolitan 9 November; late scratching when found to be lame in preliminary; veterinary clearance required.
- GALLEONS AMBASSADOR | Ashburton 11 November; broke at start; must complete standing start trial.
- PIALLIGO | Ashburton 11 November; broke in running; must complete trial.
- HUNTER ROBYN | Winton 14 November; lame near hind leg; veterinary clearance required.
- ROLL OVER BEETHOVEN | Winton 14 November; unsatisfactory performance; must complete trial.
Protests
- SOPHIA BROMAC | Methven 10 October; raced with prohibited substance in system; disqualified from 1st.
- OUR PINNOCHIO | Winton 14 November; lapped on; relegated from 3rd to 5th.