The concluded hearings are grouped together by the parties involved in the proceeding. If you would like to search the concluded hearings by individual or company, click here.
1205676 Alberta Ltd. o/a
2011-09-09 - Securities Act Sam Sakai Tamura - Order - 2011-09-09
660648 Alberta Ltd. o/a "S & I Holdings" and "S & I Holdings (Ticket Today)" - Order - 2011-09-09
Jimmy Ross Creason - Order - 2011-07-06
Daniel Neil McLeod - Order - 2011-07-06
Robert Claire Pilling - Order - 2011-07-06
660648 Alberta Ltd. o/a S & I Holdings and Sam Sakai Tamura - Order - 2011-07-06
Daniel Neil McLeod - Order - 2011-06-01
Jimmy Ross Creason - Order - 2011-06-01
Jamie Craig Creason - Order - 2011-06-01
Anthony Pittarelli - Order - 2011-06-01
Giovanna Campanelli-Pittarelli - Order - 2011-06-01
Jason Allan Hunt - Order - 2011-06-01
Windy Ridge Investments Ltd. - Order - 2011-06-01
12056786 Alberta Ltd. operating as "Front Row Tickets" - Order - 2011-06-01
660648 Alberta Ltd. o/a " S & I Holdings" and " S & I Holdings (Ticket Today), Sam Sakai Tamura and Robert Claire Pilling - Notice - 2011-06-01
660648 Alberta Ltd. o/a " S & I Holdings" and " S & I Holdings (Ticket Today), Sam Sakai Tamura and Robert Claire Pilling - Notice - 2011-06-01
Front Row Tickets - Notice of Hearing - 2011-04-15
526053 B.C. Ltd. and James Nelson McCarney
2006-01-25 - Securities Act James Nelson McCarney and 526053 B.C. Ltd. - Order - 2006-01-25
James Nelson McCarney and 526053 B.C. Ltd. - Order - 2005-12-07
James Nelson McCarney and 526053 B.C. Ltd. - Notice of Hearing - 2005-11-25
Ali, Cem
2010-03-31 - Securities Act Cem Ali - Order - 2010-03-31
Cem Ali - Notice of Hearing - 2010-02-22
Anderson, Benhard Andrew
2010-04-22 - Securities Act Benhard Andrew Anderson - Order - 2010-04-22
Benhard Andrew Anderson - Order - 2010-03-31
Benhard Andrew Anderson - Notice of Hearing - 2010-02-23
Anderson, Brian David
2008-12-10 - Securities Act Brian David Anderson - Order - 2008-12-10
Brian David Anderson - Notice of Hearing - 2008-09-22
Anderson, Gregory David
1999-10-07 - Securities Act Gregory David Anderson - Order - 1999-10-07
Gregory David Anderson - Notice of Hearing - 1999-05-20
Gregory David Anderson - Statement of Allegations - 1999-05-20
Andrew, Norman W.
2004-12-06 - Securities Act Norman W. Andrew - Enforcement Summary - 2004-12-06
Norman W. Andrew - Order - 2004-12-02
Norman W. Andrew - Notice of Hearing - 2004-07-08
Norman W. Andrew - Statement of Allegations - 2004-07-08
Norman W. Andrew - Enforcement Summary - 2003-10-29
Aspen Properties Ltd. and Consolidated Properties Ltd.
2000-11-15 - Securities Act Consolidated Properties Ltd. - Appendix A - Decision Document - 2000-11-15
Consolidated Properties Ltd. - Decision Document - 2000-11-15
Bahd, Karnjit Singh
2011-10-26 - Securities Act Karnjit Singh Bahd - Order - 2011-10-26
Karnjit Singh Bahd - Notice of Hearing - 2011-08-11
Banek, Barry, Max Systems Inc., Rattai, Shawn and Frank, Ronald M.
2000-09-07 - Securities Act Max Systems Inc., Barry Banek and Shawn Rattai - Order - 2000-09-07
Max Systems Inc., Barry Banek, Shawn Rattai and Ronald Frank - Decision Document - 2000-08-09
Max Systems, Barry Banek, Shawn Rattai and Ronald M. Frank
- Second Amended - Statement of Allegations - 2000-05-12
Max Systems Inc., Barry Banek, Shawn Rattai and Ronald M. Frank - Notice of Hearing - 1997-12-17
Max Systems Inc., Barry Banek, Shawn Rattai and Ronald M.
Frank - Statement of Allegations - 1997-12-17
Bartel, Walter Theodor
2000-10-20 - Real Estate Brokers Act Walter Theodor Bartel - Order - 2004-10-20
Walter Theodor Bartel - Decision Document - 2004-10-20
Walter Theodor Bartel - Enforcement Summary - 2004-07-14
Walter Theodor Bartel - Enforcement Summary - 2002-04-18
Walter Theodor Bartel - Enforcement Summary - 2001-02-06
Walter Theodor Bartel - Order - 2001-01-24
Walter Theodor Bartel - Decision Document - 2001-01-24
Walter Theodor Bartel - Notice of Hearing - 2000-05-24
Walter Theodor Bartel - Statement of Allegations - 2000-05-24
Beecroft, Nola Wanda
2011-04-13 - Securities Act Nola Wanda Beecroft - Order - 2011-04-13
Nola Wanda Beecroft - Notice of Hearing - 2011-03-17
Bennett, Robert Wayne and Celebration of Your Financial Success Online Inc.
2006-06-28 - Securities Act Robert Wayne Bennett and Celebration of Your Financial Success Online Inc. - Enforcement Summary - 2007-08-07
Robert Wayne Bennett and Celebration of Your Financial Success Online Inc. - Order - 2006-06-28
Robert Wayne Bennett and Celebration of Your Financial Success Online Inc. - Order - 2006-06-08
Robert Wayne Bennett and Celebration of Your Financial
Success Online Inc. - Notice of Hearing - 2006-05-16
Robert Wayne Bennett and Celebration of Your Financial
Success Online Inc. - Statement of Allegations - 2006-05-16
Bergen, Peter
2005-11-01 - Securities Act Peter Bergen - Enforcement Summary - 2005-11-01
Besaw, Gerard
2011-03-09 - Securities Act Gerard Besaw - Order - 2011-03-09
Gerard Besaw - Notice of Hearing - 2011-01-18
Birch, Michael
2002-05-23 - Securities Act Michael Birch - Settlement Agreement - 2002-05-23
Michael Birch - Notice of Hearing - 2002-04-09
Michael Birch - Statement of Allegations - 2002-04-09
Michael Birch - Enforcement Summary - 2001-10-23
Braun, Cheryl-Lynn
2008-07-09 - Securities Act Cheryl-Lynn Braun - Order - 2008-07-09
Cheryl-Lynn Braun - Notice of Hearing - 2008-06-09
Brazzell, Gary
2005-03-31 - Securities Act Gary Thomas Brazzell - Settlement Agreement - 2005-03-31
Gary Thomas Brazzell - Notice of Hearing - 2005-03-21
Bridges Golf Club Limited Partnership
2002-04-03 - Securities Act Bridges Golf Club Limited Partnership and Robert C. Morse - Settlement Agreement - 2002-04-03
Brikman, Vyacheslav
2012-04-25 - Securities Act Vyacheslav Brikman - Order - 2012-04-25
Vyacheslav Brikman - Notice of Hearing - 2012-03-02
Broers, Daren M.
2010-03-31 - Securities Act Daren M. Broers - Order - 2010-03-31
Daren M. Broers - Notice of Hearing - 2010-02-22
Brosowsky, Ernest Henry
2000-05-05 - Securities Act Ernest Henry Brosowsky - Settlement Agreement - 2000-05-05
Ernest Henry Brosowsky - Notice of Hearing - 2000-03-23
Ernest Henry Brosowsky - Statement of Allegations - 2000-03-23
CIBC World Markets Inc, Johnson, Lori Diane and Wimble, Gordon Joseph
2010-06-18 - Securities Act Lori Diane Johnson and Gordon Joseph Wimble - Settlement Agreement - 2010-06-18
CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2010-03-17
CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2010-01-26
CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2009-12-15
CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2009-11-17
CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2009-09-30
CIBC World Markets Inc., Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2009-07-08
CIBC World Markets Inc., Lori Diane Johnson and Gordon Joseph Wimble - Notice - 2009-05-27
CIBC World Markets Inc., Lori Diane Johnson and Gordon Joseph Wimble - Notice of Hearing - 2009-04-22
CIBC World Markets Inc., Lori Diane Johnson and Gordon Joseph Wimble - Statement of Allegations - 2009-04-22
CIBC World Markets Inc.
2001-01-03 - Securities Act CIBC World Markets Inc. - Addendum - Decision Document - 2001-01-31
CIBC World Markets Inc. - Decision Document - 2000-10-25
CMKM Diamonds, Inc.
2007-10-31 - Securities Act CMKM Diamonds, Inc. - Order - 2007-10-31
CMKM Diamonds, Inc. - Notice - 2007-09-24
CMKM Diamonds, Inc. - Notice of Hearing - 2007-08-17
Cahill, Barrie William
2010-08-16 - Securities Act Barrie William Cahill - Enforcement Summary - 2010-08-12
Cahill, Barrie William and Dundee Private Investors Inc.
2012-02-07 - Securities Act Barrie William Cahill - Order - 2012-02-07
Dundee Private Investors Inc. - Notice of Discontinuance - Notice - 2012-01-30
Barrie William Cahill and Dundee Private Investors Inc. - Order - 2011-09-29
Barrie William Cahill and Dundee Private Investors Inc. - Notice - 2011-07-06
Barrie William Cahill and Dundee Private Investors Inc. - Notice - 2011-06-01
Barrie William Cahill and Dundee Private Investors Inc. - Notice of Hearing - 2011-03-25
Barrie William Cahill and Dundee Private Investors Inc. - Statement of Allegations - 2011-03-23
Cameron, James Harvey, Sonnum Capital Corporation and Sonnum Capital Leasing Corp.
2006-10-31 - Securities Act James Harvey Cameron - Enforcement Summary - 2006-10-31
Carrington, Gregory Clark
2011-10-05 - Securities Act Gregory Clark Carrington - Order - 2011-10-05
Gregory Clark Carrington - Notice of Hearing - 2011-08-11
Caruk, Phyllis Marie
2001-01-29 - Real Estate Brokers Act Phyllis Marie Caruk - Order - 2001-01-29
Phyllis Marie Caruk - Decision Document - 2001-01-17
Phyllis Marie Caruk - Notice of Hearing - 2000-04-17
Phyllis Marie Caruk - Statement of Allegations - 2000-04-17
Castaneda, Jose
2009-08-19 - Securities Act Jose Castaneda - Order - 2009-08-19
Jose Castaneda - Notice of Hearing - 2009-06-23
Cathcart, David
2009-08-19 - Securities Act David Cathcart - Order - 2009-08-19
David Cathcart - Notice of Hearing - 2009-06-22
Chase Mutual Investment Services Inc.
1999-09-22 - Securities Act Chase Mutual Investment Services Inc. - Enforcement Summary - 1999-09-22
Chomichuk, Walter Gregory
2000-12-01 - Securities Act Walter G. Chomichuk - Enforcement Summary - 2000-12-01
Clarke, Douglas Arnold and Bick Financial Services Inc.
2008-08-13 - Securities Act Douglas Arnold Clarke and Bick Financial Services Inc. - Order - 2008-08-13
Douglas Arnold Clarke and Bick Financial Services Inc. - Notice of Hearing - 2008-06-09
Conrad, Everett
2009-06-18 - Securities Act Everett Conrad - Order - 2009-06-18
Everett Conrad - Notice - 2009-01-07
Everett Conrad - Notice - 2008-12-03
Everett Conrad - Notice of Hearing - 2008-12-03
Everett Conrad - Statement of Allegations - 2008-10-08
Everett Conrad - Enforcement Summary - 2007-10-22
Cooke, Maxine
2008-12-10 - Securities Act Maxine Cooke - Order - 2008-12-10
Maxine Cooke - Amended - Notice of Hearing - 2008-12-04
Maxine Cooke - Notice of Hearing - 2008-10-10
Couch, Jeanette Cleone, Shire International Real Estate Investment Ltd., Shire Asset Management Ltd., Hawaii Fund, and Maples and White Sands Investment Ltd.
2009-09-30 - Securities Act Jeanette Cleone Couch - Order - 2009-09-30
Shire International Real Estate Investment Ltd. - Order - 2009-09-30
Jeanette Cleone Couch - Order - 2009-09-10
Jeanette Cleone Couch - Notice of Hearing - 2009-09-09
Datek Online Brokerage Services LLC, Ameritrade, Inc. and TD Waterhouse Investor Services, Inc.
2001-06-20 - Securities Act Datek Online Brokerage Services - Order - 2001-09-26
Ameritrade, Inc. - Settlement Agreement - 2001-06-20
Datek Online Brokerage Services LLC - Settlement Agreement - 2001-06-20
TD Waterhouse Investor Services, Inc. - Settlement Agreement - 2001-06-20
Datek Online Brokerage Services LLC - Notice of Hearing - 2001-06-18
Ameritrade, Inc., Datek Online Brokerage Services LLC and
TD Waterhouse Investor - Statement of Allegations - 2001-06-18
De Escobar, Shirleena Manchur
2004-11-24 - Securities Act Shirleena Manchur De Escobar - Enforcement Summary - 2004-11-24
DeVries, John, Ernest Reed Grafke, Ralph Bromley and Wesley Campbell
2008-08-13 - Securities Act Ralph Bromley - Order - 2008-08-13
Wesley Campbell - Order - 2008-08-13
John DeVries - Order - 2008-08-13
Ernest Reed Grafke - Order - 2008-08-13
John Devries, Ernest Reed Grafke, Ralph Bromley and Wesley Campbell - Notice of Hearing - 2008-06-08
Devcich, Frank Andrew and Singh, Gobinder Kular
2012-02-15 - Securities Act Gobinder Kular Singh - Order - 2012-02-15
Frank Andrew Devcich - Order - 2012-02-08
Frank Andrew Devcich and Gobinder Kular Singh - Notice of Hearing - 2011-12-07
Dhudwall, Parvin Kaur , Bahd, Amrik Singh , Uppal, Kulbir Singh aka Kelly Uppal, Jhutty, Gurpreet Kaur and Uppal, Paul
2011-02-16 - Securities Act Amrik Singh Bahd - Order - 2011-02-16
Parvin Kaur Dhudwal - Order - 2011-02-16
Paul Uppal - Order - 2011-02-16
Gurpreet Kaur Jhutty - Order - 2011-02-16
Kulbir Singh Uppal also known as Kelly Uppal - Order - 2011-02-16
Parvin Kaur Dhudwall, Amrik Singh Bahd, Kulbir Singh Uppal aka Kelly Uppal, Gurpreet Kaur Jhutty, and Paul Uppal - Notice of Hearing - 2011-01-06
Di Fonzo, Mario
2010-09-01 - Securities Act Mario di Fonzo - Order - 2010-09-01
Mario Di Fonzo - Notice - 2010-08-20
Mario Di Fonzo - Notice - 2010-08-04
Mario Di Fonzo - Notice - 2010-06-22
Mario Di Fonzo - Notice of Hearing - 2010-04-19
Mario Di Fonzo - Statement of Allegations - 2010-04-19
Mario Di Fonzo - Statement of Allegations - 2010-04-19
Didur, Ann
2007-06-06 - Securities Act Ann Didur - Notice - 2007-06-06
Ann Didur - Order - 2004-01-28
Ann Didur - Order - 2003-10-15
Ann Didur - Order - 2003-10-01
Ann Didur - Notice of Hearing - 2003-03-17
Ann Didur - Statement of Allegations - 2003-03-17
Dobbin, Bret Allan
2006-01-25 - Securities Act Bret Allan Dobbin - Settlement Agreement - 2006-01-25
Bret Allan Dobbin - Notice - 2006-01-19
Bret Allan Dobbin - Order - 2005-12-15
Bret Allan Dobbin - Notice - 2005-12-14
Bret Allan Dobbin - Notice of Hearing - 2005-10-12
Bret Allan Dobbin - Statement of Allegations - 2005-10-12
Driedger, Kenneth Murray
2006-01-19 - Securities Act Kenneth Driedger - Order - 2006-01-19
Kenneth Driedger - Notice - 2005-12-13
Kenneth Driedger - Notice of Hearing - 2005-10-06
Kenneth Driedger - Statement of Allegations - 2005-10-06
Kenneth Driedger - Enforcement Summary - 2005-06-29
Dyck, Adelgunde (Adele)
2003-07-08 - Real Estate Brokers Act Adelgunde (Adele) Dyck - Notice of Cancellation of Hearing - Notice - 2003-07-08
Adelgunde Dyck - Notice of Hearing - Notice of Hearing - 2002-11-29
Adelgunde Dyck - Statement of Allegations - Statement of Allegations - 2002-11-29
Dyck, Carl James
2003-10-17 - Securities Act Carl James Dyck - Enforcement Summary - 2003-10-17
Carl James Dyck - Settlement Agreement - 2000-11-01
Carl James Dyck - Notice of Hearing - 2000-07-06
Carl James Dyck - Statement of Allegations - 2000-07-06
ENSIS Growth Fund Inc.
2001-01-31 - Securities Act ENSIS Growth Fund Inc. - Notice - 2001-01-31
Essen Capital Inc. and Loman, Kevin
2010-05-19 - Securities Act Essen Capital Inc. and Kevin Loman - Order - 2010-05-19
Essen Capital Inc. and Kevin Loman - Notice of Hearing - 2010-03-03
Euston Capital Corp.
2008-01-22 - Securities Act Euston Capital Corp. - Order - 2008-01-22
Euston Capital Corp. - Decision Document - 2008-01-08
Euston Capital Corp. - Notice - 2006-09-25
Euston Capital Corp. - Amended - Notice of Hearing - 2006-09-22
Euston Capital Corp. - Amended Amended - Statement of Allegations - 2006-09-22
Euston Capital Corp. - Order - 2006-02-23
Euston Capital Corp. - Notice - 2006-02-22
Euston Capital Corp. - Notice - 2005-09-23
Euston Capital Corp. - Order - 2005-09-22
Euston Capital Corp. - Amended - Statement of Allegations - 2005-09-19
Euston Capital Corp. - Notice - 2005-08-31
Euston Capital Corp. - Notice of Hearing - 2005-07-11
Euston Capital Corp. - Statement of Allegations - 2005-07-11
Financial Sector Issuers
2008-10-03 - Securities Act In the Matter of Financial Sector Issuers - Order - 2008-10-03
Notice of Hearing - Financial Sector Issuers - Notice of Hearing - 2008-10-02
Finley, David Wayne
2001-05-17 - Securities Act David Wayne Finley - Order - 2001-05-17
David Wayne Finley - Order - 2000-11-27
David Wayne Finley - Decision Document - 2000-11-23
David Wayne Finley - Decision Document - 2000-06-27
David Wayne Finley - Statement of Allegations - 1999-10-29
David Wayne Finley - Notice of Hearing - 1999-08-11
Fischer, Michael R.
2002-04-18 - Securities Act Michael Robert Fischer - Settlement Agreement - 2002-04-18
Michael Robert Fischer - Notice of Hearing - 2002-02-12
Michael Robert Fischer - Statement of Allegations - 2002-02-12
Frederick Johnathon Nielsen, previously known as Frederick John Gilliland
2011-06-15 - Securities Act Frederick Johnathon Nielsen, previously known as Frederick John Gilliland - Order - 2011-06-15
Frederick Johnathon Nielsen - Notice of Hearing - 2011-05-17
Friedland, Steven Brian, Western Liquid Funding and Western Liquid Funding Inc.
2011-02-17 - Securities Act Steven Brian Briedland, Western Liquid Funding and Western Liquid Funding Inc. - Order - 2011-02-17
Steven Brian Friedland, Western Liquid Funding and Western Liquid Funding Inc. - Notice of Hearing - 2011-01-06
Friesen, John (Thrasher) and Futronics Inc.
2010-11-04 - Securities Act John Friesen and Futronics Inc. - Enforcement Summary - 2010-11-04
Friesen, John also known as John "Thrasher" Friesen and Futronics Inc.
2011-09-23 - Securities Act John Friesen - Order - 2011-09-23
Futronics Inc. - Order - 2011-09-23
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Notice - 2011-07-13
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Notice - 2011-06-15
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Notice of Hearing - 2011-05-02
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Order - 2003-06-27
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Order - 2003-01-15
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Order - 2002-06-05
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Order - 2002-03-06
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Notice of Hearing - 2002-02-21
John Friesen also known as John (Thrasher) Friesen and Futronics Inc. - Order - 2002-02-20
Fulkco, David John
2008-08-13 - Securities Act David John Fulkco - Order - 2008-08-13
David John Fulkco - Notice of Hearing - 2008-06-10
Fulkco, Wallace Gerald
2008-08-13 - Securities Act Wallace Gerard Fulkco - Order - 2008-08-13
Wallace Gerald Fulkco - Notice of Hearing - 2008-03-31
Gamble, Dennis Wayne
2000-04-20 - Securities Act Dennis Wayne Gamble - Settlement Agreement - 2000-04-20
Dennis Wayne Gamble - Amended - Statement of Allegations - 2000-04-04
Dennis Wayne Gamble - Notice of Hearing - 2000-02-29
Gevaert, Thierry
2011-03-09 - Securities Act Thierry Gevaert - Order - 2011-03-09
Thierry Gevaert - Notice of Hearing - 2011-01-18
Global Petroleum Strategies, LLC, Petroleum Unlimited, LLC, Aurora Escrow Services, LLC, Roger A. Kimmel, Jr., and Rosemary Salveggi
2009-01-14 - Securities Act Global Petroleum Strategies, LLC - Order - 2009-01-14
Rosemary Salveggi - Notice of Discontinuance - Notice - 2009-01-14
Global Petroleum Strategies, LLC - Notice of Hearing - 2008-10-22
Goh, Heng
2009-05-13 - Securities Act Heng Goh - Order - 2009-05-13
Heng Goh - Notice of Hearing - 2009-03-13
Goldpoint Resources Corporation, Novielli, Lino and Moloney, Brian
2008-11-26 - Securities Act Goldpoint Resources Corporation, Lino Novielli and Brian Moloney - Order - 2008-11-26
Goldpoint Resources Corporation, Lino Novielli and Brian Moloney - Notice of Hearing - 2008-09-24
Goodbrand, Gordon James and Wheatfield Inc.
2010-03-31 - Securities Act Wheatfield Inc. and Gordon James Goodbrand - Order - 2010-03-31
Wheatfield Inc. and Gordon James Goodbrand - Notice of Hearing - 2010-02-22
Great White Capital Corp. and Keller, Adam
2011-10-26 - Securities Act Great White Capital Corp. - Order - 2011-10-26
Adam Keller - Order - 2011-10-26
Great White Capital Corp. and Adam Keller - Notice of Hearing - 2011-08-11
Griffith, Charles Edward
2005-07-15 - Securities Act Charles Edward Griffith - Order - 2005-07-15
Charles Edward Griffith - Amended - Notice of Hearing - 2004-04-28
Charles Edward Griffith - Amended - Statement of Allegations - 2004-04-19
Charles Edward Griffith - Advisory Notice - Notice - 2004-03-26
Charles Edward Griffith - Notice of Hearing - 2004-03-15
Charles Edward Griffith - Statement of Allegations - 2004-03-15
Griffiths, John David, Reynolds, Randy Kenneth and Portfolio Strategies Corporation
2009-04-15 - Securities Act John David Griffiths and Randy Kenneth Reynolds - Notice - 2009-04-15
John David Griffiths - Settlement Agreement - 2009-04-15
Randy Reynolds - Settlement Agreement - 2009-04-15
John David Griffiths and Randy Kenneth Reynolds - Notice - 2009-02-25
John David Griffiths and Randy Kenneth Reynolds - Notice - 2009-01-14
Portfolio Strategies Corporation - Notice of Discontinuance - Notice - 2008-12-22
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2008-11-26
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2008-10-27
Portfolio Strategies Corporation, John David Griffiths and Randy Kenneth Reynolds - Further Amended Statement of Response - Notice - 2008-10-15
Portfolio Strategies Corporation, John David Griffiths and Randy Kenneth Reynolds - Amended Statement of Response - Notice - 2008-09-29
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2008-01-30
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2008-01-21
Portfolio Strategies Corporation, John David Griffiths and Randy Kenneth Reynolds - Decision Document - 2007-11-27
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2007-09-25
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2007-09-21
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2007-08-22
Portfolio Strategies Corporation, John David Griffiths and Randy Kenneth Reynolds - Statement of Response - Notice - 2007-07-12
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice - 2007-06-27
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Notice of Hearing - 2007-06-07
Portfolio Strategies Corporation and John David Griffiths and Randy Kenneth Reynolds - Statement of Allegations - 2007-06-07
Grinshpun, Mark
2012-03-21 - Securities Act Mark Grinshpun - Order - 2012-03-21
Mark Grinshpun - Notice of Hearing - 2012-02-08
Grubb, Jeffery Joseph
2007-10-26 - Real Estate Brokers Act Jeffrey Grubb - Settlement Agreement - 2007-10-26
Jeffrey Grubb - Notice - 2007-10-24
Jeffrey Grubb - Notice - 2007-09-24
Jeffrey Grubb - Notice - 2007-09-04
Jeffrey Grubb - Notice - 2007-05-16
Jeffrey Grubb - Notice - 2007-04-25
Jeffrey Grubb - Notice - 2007-03-21
Jeffery Grubb - Notice of Hearing - 2007-02-21
Jeffery Grubb - Statement of Allegations - 2007-02-21
Hallett Financial Services Ltd. and Hallett, Phillip Ross
2011-06-01 - Securities Act Hallett Financial Services Ltd. and Phillip Ross Hallett - Order - 2011-06-01
Hallett Financial Services Ltd. and Phillip Ross Hallett - Notice - 2011-04-13
Hallett Financial Services Ltd. and Phillip Ross Hallett - Notice of Hearing - 2011-03-22
Heartford Capital Management
2007-12-12 - Securities Act Heartford Capital Management - Order - 2007-12-12
Heartford Capital Management - Notice of Hearing - 2007-11-16
Heidebrecht, Sheldon
2009-07-14 - Securities Act Sheldon Heidebrecht - Enforcement Summary - 2009-07-14
Heidebrecht, Sheldon Terry and Koniuck-Petzold, Margaret
2010-09-20 - Securities Act Margaret Koniuck-Petzold - Notice - 2010-09-20
Margaret Koniuck-Petzold - Order - 2010-05-14
Sheldon Keidebrecht and Margaret Koniuck-Petzold - Decision Document - 2010-05-14
Margaret Koniuck-Petzold - Notice - 2010-01-13
Margaret Koniuck-Petzold - Notice - 2009-12-04
Margaret Koniuck-Petzold - Notice - 2009-07-08
Margaret Koniuck-Petzold - Notice - 2009-06-17
Sheldon Terry Heidebrecht - Order - 2008-05-28
Margaret Koniuck-Petzold - Order - 2008-04-29
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Decision Document - 2008-04-29
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice - 2007-12-19
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice - 2007-08-22
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice - 2007-06-13
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice - 2007-04-25
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice - 2007-03-21
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Notice of Hearing - 2007-02-21
Sheldon Terry Heidebrecht and Margaret Koniuck-Petzold - Statement of Allegations - 2007-02-21
Helmig, Renee Marie
2010-03-31 - Securities Act Renee Marie Helmig - Order - 2010-03-31
Renee Marie Helmig also known as Nisha Helmig - Notice of Hearing - 2010-03-01
Hennig, Theodor, Workum, Peter Jay (or J.), Cheshire Capital Inc. and Strategic Investments Fund
2011-03-09 - Securities Act Theodor Hennig - Order - 2011-03-09
Peter Jay (or J.) Workum - Order - 2011-03-09
Cheshire Capital Inc. - Order - 2011-03-09
Strategic Investments Fund - Order - 2011-03-09
Theodor Hennig, Peter Jay (or J.) Workum, Cheshire Capital Inc. and Strategic Investments Fund - Notice of Hearing - 2011-01-18
Hillcorp International Services, Hillcorp Wealth Management, Suncorp Hodlings, 1621852 Ontario Limited, 1694487 Ontario Limited, Steven John Hill and Danny De Melo
2012-01-25 - Securities Act Hillcorp International Services, Hillcorp Wealth Management - Order - 2012-01-25
Danny De Melo - Order - 2012-01-25
Hillcorp International Services - Notice of Hearing - 2011-11-23
Hodgson, Donald George and Hodgson, Gerald Gordon
2007-10-22 - Securities Act Donald George Hodgson and Gerald Gordon Hodgson - Enforcement Summary - 2007-10-22
Hoeschen, James Richard
2001-05-30 - Securities Act James Richard Hoeschen - Order - 2001-06-01
James Richard Hoeschen - Decision Document - 2001-05-23
James Richard Hoeschen - Notice - 2001-05-15
Holeman, Jon Wayne
2004-08-25 - Securities Act Jon Wayne Holeman - Settlement Agreement - 2004-08-25
Jon Wayne Holeman - Notice of Hearing - 2004-08-23
Hollo, George
2004-02-13 - Securities Act George Hollo - Settlement Agreement - 2004-02-13
George Hollo - Notice of Hearing - 2004-02-06
Hrankowski, Paul Raymond
2005-12-12 - Real Estate Brokers Act Paul Raymond Hrankowski - Order - 2005-12-12
Paul Raymond Hrankowski - Decision Document - 2005-12-12
Paul Raymond Hrankowski - Order - 2005-06-07
Paul Raymond Hrankowski - Order - 2005-05-20
Paul Raymond Hrankowski - Amended - Statement of Allegations - 2005-05-17
Paul Raymond Hrankowski - Order - 2005-05-05
Paul Raymond Hrankowski - Notice of Hearing - 2005-05-03
Paul Raymond Hrankowski - Statement of Allegations - 2005-05-03
Paul Raymond Hrankowski - Notice of Hearing - 2005-04-21
Paul Raymond Hrankowski - Order - 2005-04-20
Hybschmann, Hans Ove
2007-10-22 - Securities Act Hans-Ove Hybschmann - Enforcement Summary - 2007-10-22
I.G. Investment Management, Ltd.
2005-06-30 - Securities Act I.G. Investment Management, Ltd. - Order - 2009-07-22
I.G. Investment Management, Ltd. - Order - 2008-06-18
I.G. Investment Management Ltd. - Letter to Counsel - Settlement Agreement - 2005-06-30
I.G. Investment Management, Ltd. - Plan of
Distribution - Settlement Agreement - 2005-06-30
I.G. Investment Management, Ltd. - Order and Settlement Agreement - Settlement Agreement - 2004-12-16
IG Investment Management, Ltd. - Notice of Hearing - 2004-12-14
Illidge, John
2009-08-19 - Securities Act John Illidge - Order - 2009-08-19
John Illidge - Notice of Hearing - 2009-08-19
International Fiduciary Corp SA, Daniel Eric Byer, Malcolm Cameron Boyd Stevenson, and Preston Pinkett II
2008-12-18 - Securities Act International Fiduciary Corp SA - Order - 2008-12-17
International Fiduciary Corp SA - Notice of Hearing - 2008-10-06
James, Albert Leslie, Douse, Ezra and Dominion Investments Club Inc.
2012-01-11 - Securities Act Dominion Investments Club Inc. - Order - 2012-01-11
Albert Leslie James - Order - 2012-01-11
Ezra Douse - Order - 2012-01-11
Albert Leslie James, Ezra Douse and Dominion Investments Club Inc. - Notice of Hearing - 2011-11-23
Janzen, Ernest David
2003-03-25 - Securities Act Ernest David Janzen - Order - 2003-03-25
Ernest David Janzen - Order - 2002-11-29
Ernest David Janzen - Order - 2002-04-03
Ernest David Janzen - Enforcement Summary - 2002-04-03
Ernest David Janzen and Tri-West Investment Club - Order - 2001-06-13
Ernest David Janzen and Tri-West Investment Club - Order - 2001-06-01
Ernest David Janzen and Tri-West Investment Club - Notice of Hearing - 2001-06-01
Ernest David Janzen - Enforcement Summary - 2001-06-01
Jennix, Roy
2010-04-21 - Securities Act Roy Jennix - Order - 2010-04-22
Roy Jennix - Notice - 2010-03-31
Roy Jennix - Notice of Hearing - 2010-02-22
Johnson, Alvin Lee
2009-05-13 - Securities Act Alvin Lee Johnson - Order - 2009-05-13
Alvin Lee Johnson - Notice of Hearing - 2009-03-13
Jordan, Cynthia
2009-09-09 - Securities Act Cynthia Jordan - Order - 2009-09-09
Cynthia Jordan - Notice - 2009-08-09
Cynthia Jordan - Notice - 2009-08-05
Cynthia Jordan - Notice of Hearing - 2009-06-19
Jory Capital Inc.
1999-12-23 - Securities Act Jory Capital Inc. - Notice - 1999-12-23
Jory Capital Inc. - Order - 1999-12-22
Jory Capital Inc. - Notice of Hearing - 1999-12-22
Jory Capital Inc. - Statement of Allegations - 1999-12-22
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC)
2012-03-01 - Securities Act Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2012-03-01
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Revised - Decision Document - 2011-09-19
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2011-08-29
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2011-05-19
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2011-02-17
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2011-02-14
Jory Capital Inc. and Investment Industry Regulatory Organization of Canada - Decision Document - 2010-12-31
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Appeal
2012-05-04 - Securities Act Jory Capital Inc., Patrick Cooney and IIROC - Order - 2012-05-04
Jory Capital Inc, Patrick Cooney and Investment Industry Regulatory Organization of Canada - Notice - 2012-05-03
Jory Capital Inc, Patrick Cooney and Investment Industry Regulatory Organization of Canada - Notice - 2012-04-27
Jory Capital Inc., Patrick Cooney and Investment Industry Regulatory Organization of Canada - Notice of Hearing - 2012-04-23
Letter of Appeal - Notice - 2011-02-23
Jory Capital Inc. and Investment Industry Regulatory Association of Canada (IIROC) - Notice - 2011-02-14
Jory Capital Inc. - IIROC Enforcement Notice - Notice - 2011-02-09
Jory Capital Inc. - Letter of Appeal - Notice - 2011-02-03
Jory Capital Inc. and Patrick Michael Cooney
2007-10-10 - Securities Act Jory Capital Inc. and Patrick Michael Cooney - Decision Document - 2007-10-10
Jory Capital Inc. and Patrick Michael Cooney - Notice - 2007-05-10
Joseph, Barbara Caroline (formerly Barbara Caroline Todd)
2004-11-05 - Securities Act Barbara Caroline Joseph (formerly Barbara Caroline Todd) - Order - 2004-04-21
Barbara Caroline Joseph - Notice of Hearing - 2004-03-10
Barbara Caroline Joseph - Statement of Allegations - 2004-03-10
Barbara Caroline Joseph - Enforcement Summary - 2003-09-02
Jung, Henry
2009-05-13 - Securities Act Henry Jung - Order - 2009-05-13
Henry Jung - Notice of Hearing - 2009-03-11
KCP Innovative Services Inc. and Baker, James Woodrow
2011-06-01 - Securities Act KCP Innovative Services Inc. - Order - 2011-06-01
James Woodrow Baker - Order - 2011-06-01
KCP Innovative Services Inc. and James Woodrow Baker - Notice of Hearing - 2011-04-15
Kalapaca, Robert Walter
2004-11-05 - Securities Act Robert Walter Kalapaca - Enforcement Summary - 2004-11-05
Kelley, Stafford
2009-08-19 - Securities Act Stafford Kelley - Order - 2009-08-19
Stafford Kelley - Notice of Hearing - 2009-06-22
Kelly, Ralph
2009-05-13 - Securities Act Ralph Kelly - Order - 2009-05-13
Ralph Kelly - Notice of Hearing - 2009-03-11
Klassen, Gregory David
2001-01-10 - Securities Act Gregory David Klassen and Robert Charles Napper - Decision Document - 2001-01-10
Gregory David Klassen - Settlement Agreement - 2000-12-20
Gregory David Klassen - Notice of Hearing - 2000-01-31
Gregory David Klassen - Statement of Allegations - 2000-01-31
Klein, Daryl Joseph and Kleincorp Mgmt. Inc.
2008-08-13 - Securities Act Daryl Joseph Klein and Kleincorp Mgmt. Inc., doing business as Insta-Cash Loans - Order - 2008-08-13
Daryl Joseph Klein and Kleincorp Mgmt. Inc., doing business as Insta-Cash Loans - Amended - Notice of Hearing - 2008-06-10
Daryl Joseph Klein and Kleincorp Mgmt. Inc. - Notice of Hearing - 2008-06-09
Koswin. Ricky Nicholas
2008-11-13 - Securities Act Ricky Nicholas Koswin - Enforcement Summary - 2008-11-13
Kowalchuk, Richard Bruce
2011-10-05 - Securities Act Richard Bruce Kowalchuk - Order - 2011-10-05
Richard Bruce Kowalchuk - Notice of Hearing - 2011-08-11
Krehbiel, Kimberly B.
2006-01-13 - Securities Act Kimberly B. Krehbiel - Enforcement Summary - 2006-01-13
Kreker, Nick
2001-10-23 - Securities Act Nick Kreker - Enforcement Summary - 2001-10-23
Kristine Amanda Fileccia
2010-11-09 - Securities Act Kristine Amanda Fileccia - Enforcement Summary - 2010-11-08
Kroeker, Tracy Lee, Furusho, Tolan Shigeo, and Kamerling, Beverly
2010-04-21 - Securities Act Tolan Shigeo Furusho - Order - 2010-04-22
Tracy Lee Kroeker, Tolan Shigeo Furusho, and Beverly Kamerling - Order - 2008-09-17
Tracy Lee Kroeker, Tolan Shigeo Furusho and Beverly Kamerling - Notice of Hearing - 2008-07-29
Kuipers, Cameron, Ultimate Ventures Inc. and Trivera Investments Inc.
2008-04-23 - Securities Act Cameron Kuipers, Ultimate Ventures Inc., and Trivera Investments Inc. - Order - 2008-04-23
Notice of Hearing - Cameron Kuipers, Ultimate Ventures Inc. and Trivera Investments Inc. - Notice of Hearing - 2008-04-23
Kustom Design Financial Services Inc., Kustom Design Group Inc., Hightide Management Inc., Synergy Group (2000) Inc., Michael Edward Lepitre, Mark Adrian Jones and Leonard Jonathan Zielke
2012-01-30 - Securities Act Mark Adrian Jones and Leonard Jonathan Zielke - Notice of Discontinuance - Notice - 2012-01-30
Synergy Group (2000) Inc. - Order - 2012-01-11
Michael Edward Lepitre - Order - 2011-11-30
Kustom Design Financial Services Inc., Kustom Design Group Inc., and Hightide Managements Inc. - Order - 2011-11-30
Kustom Design Financial Services Inc. - Notice - 2011-11-30
Kustom Design Financial Services Inc. - Notice of Hearing - 2011-10-21
Kyllo, Cheryl Anne
2011-02-08 - Securities Act Cheryl Anne Kyllo - Order - 2011-02-08
Cheryl Anne Kyllo - Notice of Hearing - 2011-01-06
Kyllo, Steven Peter
2011-03-09 - Securities Act Steven Peter Kyllo - Order - 2011-03-09
Steven Peter Kyllo - Order - 2011-02-17
Steven Peter Kyllo - Notice of Hearing - 2011-01-06
Lacquement, Rick Gordon
2000-09-27 - Securities Act Rick Gordon Lacquement - Settlement Agreement - 2000-09-27
Rick Gordon Lacquement - Notice of Hearing - 2000-06-21
Rick Gordon Lacquement - Statement of Allegations - 2000-06-21
Landbankers International MX, S.A. DE C.V., Kelly Friesen and Sonja J. McAdam
2008-02-27 - Securities Act Landbankers International MX, S.A. de C.V., Kelly Friesen and Sonja A. McAdam - Order - 2008-02-27
Sonja A. McAdam - Notice of Hearing - 2008-02-07
Landbankers International MX, S.A. DE C.V. and Kelly Friesen - Notice of Hearing - 2008-02-01
Landen, Barry
2012-01-25 - Securities Act Barry Landen - Order - 2012-01-25
Barry Landen - Notice of Hearing - 2011-11-23
Lear, Daniel Kingsley
2002-04-10 - Securities Act Daniel Lear also known as Sir Daniel Kingsley Lear - Order - 2002-04-10
Daniel Lear - Enforcement Summary - 2002-01-29
Daniel Lear - Notice of Hearing - 2002-01-28
Daniel Lear - Statement of Allegations - 2002-01-28
Lee, Peter George
2008-12-17 - Securities Act Peter George Lee - Order - 2008-12-17
Peter George Lee - Notice of Hearing - 2008-10-16
Leung, Betty
2008-12-10 - Securities Act Betty Leung - Order - 2008-12-10
Betty Leung - Notice of Hearing - 2008-10-06
Lionridge Capital Management Inc.
2007-08-08 - Securities Act Lionridge Capital Management Inc. - Settlement Agreement - 2007-08-08
Lionridge Capital Management Inc. - Notice of Hearing - 2007-08-07
Lo, Kwok-On Aloysius
2009-08-20 - Securities Act Kwok-On Aloysius Lo - Order - 2009-08-20
Kwok-On ALoysius Lo - Notice of Hearing - 2009-06-23
Loewen, Victor and Realty World Landex Limited Partnership
2003-02-12 - Real Estate Brokers Act Victor Loewen and Realty World Landex (Limited
Partnership) - Order - 2003-02-12
Victor Loewen - Enforcement Summary - 2000-11-24
Loewen, William (Bill)
2003-12-19 - Real Estate Brokers Act William (Bill) Loewen - Order - 2003-12-19
William (Bill) Loewen - Notice of Hearing - 2001-06-28
William (Bill) Loewen - Statement of Allegations - 2001-06-28
M.R.S. Trust Company, B2B Trust, W.H. Stuart Mutuals Ltd., Eric Sonego, Ingram Jeffrey Eshun,Josephus Delacore Lewis and Marilyn Dianne Stuart
2007-12-12 - Securities Act Josephus Delacore Lewis and Eric Sonego - Order - 2007-12-12
M.R.S. Trust Company - Decision Document - 2007-12-12
B2B Trust - Settlement Agreement - 2006-12-06
Ingram Jeffrey Eshun - Settlement Agreement - 2006-11-20
M.R.S. Trust Company - Notice - 2006-03-15
M.R.S. Trust Company - Order - 2006-01-11
M.R.S. Trust Company - Notice - 2006-01-11
M.R.S. Trust Company - Notice - 2005-11-30
M.R.S. Trust Company - Notice - 2005-11-02
W. H. Stuart Mutuals and Marilyn Dianne Stuart - Order - 2005-10-28
M.R.S. Trust Company - Notice - 2005-09-12
W.H. Stuart Mutuals Ltd. - Notice of Hearing - 2004-02-24
W.H. Stuart Mutuals Ltd. - Statement of Allegations - 2004-02-24
Malsbury Investment Corporation and Shayne Lorne Malsbury
2009-11-18 - Securities Act Malsbury Investment Corporation and Shayne Corne Malsbury - Order - 2009-11-18
Malsbury Investment Corporation and Shayne Corne Malsbury - Notice of Hearing - 2009-08-14
Mankofsky, William
2009-10-07 - Securities Act William Mankofsky - Order - 2009-10-07
William Mankofsky - Notice of Hearing - 2009-08-14
Manna Trading Corp Ltd., Manna Humanitarian Foundation, Legacy Capital Inc., Legacy Trust Inc., McLeod, Hal (Mick) Allan, Vaughan, David John, McMordie, Kenneth Robert a.k.a. Fox Byrun, Rostek, Dianne Sharon
2010-06-23 - Securities Act Manna Trading Corp Ltd. - Order - 2010-06-23
Manna Trading Corp Ltd. - Order - 2010-05-20
Dianne Sharon Rosiek - Order - 2010-05-19
Manna Trading Corp Ltd. - Notice of Hearing - 2010-03-23
Marcotte, Patricia Frances also know as Patrica Frances Roque
2011-10-26 - Securities Act Patricia Frances Marcotte - Order - 2011-10-26
Patricia Frances Marcotte aka Patricia Frances Roque - Notice of Hearing - 2011-08-11
Marwest Management Canada Ltd.
2007-07-23 - Real Estate Brokers Act Marwest Management Canada Ltd. - Enforcement Summary - 2007-07-23
Matthew, Glen
2011-02-16 - Securities Act Glen Matthew - Order - 2011-02-16
Glen Matthew - Notice of Hearing - 2011-01-06
Maya, Claudio Fernando
2012-01-25 - Securities Act Claudio Fernando Maya - Order - 2012-01-25
Claudio Fernando Maya - Notice of Hearing - 2011-11-23
McCaffrey, Allan
2009-08-05 - Securities Act Allan McCaffrey - Order - 2009-08-05
Allan McCaffrey - Notice of Hearing - 2009-06-19
McCord, Jeffrey David and Vertex One Asset Management
2007-01-31 - Securities Act Vertex One Asset Management and Jeffrey David McCord - Settlement Agreement - 2007-01-31
Vertex One Asset Management and Jeffrey David McCord - Notice of Hearing - 2007-01-16
McDonald, Neil Andrew
2011-04-13 - Securities Act Neil Andrew McDonald - Order - 2011-04-13
Neil Andrew McDonald - Notice of Hearing - 2011-03-22
McKay, Iris Margaret and Dundee Private Investors Inc.
2005-02-01 - Securities Act Iris Margaret McKay - Settlement Agreement - 2005-02-01
Margaret McKay - Notice - 2005-01-27
Margaret McKay - Amended - Notice of Hearing - 2004-09-20
Margaret McKay - Amended - Statement of Allegations - 2004-09-20
Margaret McKay - Notice of Hearing - 2004-07-07
Margaret McKay - Statement of Allegations - 2004-07-07
McLachlan, Lorin
2008-11-05 - Real Estate Brokers Act Lorin McLachlan - Order - 2008-11-05
Lorin McLachlan - Notice - 2007-10-31
Lorin McLachlan - Notice - 2007-10-03
Lorin McLachlan - Notice - 2007-09-05
Lorin McLachlan - Notice - 2007-08-22
Lorin McLachlan - Notice - 2007-06-20
Lorin McLachlan - Notice of Hearing - 2007-05-18
Lorin McLachlan - Statement of Allegations - 2007-05-18
McLean, Patricia
2010-02-22 - Securities Act Patricia McLean - Decision Document - 2010-02-22
Patricia McLean - Decision Document - 2009-12-14
Patricia McLean - Notice - 2009-10-16
Patricia McLean - Notice - 2009-09-09
Patricia McLean - Notice - 2009-08-19
Patricia McLean - Notice of Hearing - 2009-06-22
McLoughlin, John Arthur Roche and MCL Ventures Inc.
2012-03-21 - Securities Act John Arthur Roche McLoughlin and MCL Ventures Inc. - Order - 2012-03-21
John Arthur Roche McLoughlin and MCL Ventures Inc. - Notice of Hearing - 2012-02-08
McQuarrie, Gord
2009-10-07 - Securities Act Gord McQuarrie - Order - 2009-10-07
Gord McQuarrie - Notice of Hearing - 2009-08-14
Momentas Corporation, Howard Rash and Alexander Funt
2009-06-10 - Securities Act Momentas Corporation, Howard Rash and Alexander Funt - Order - 2009-06-10
Momentas Corporation, Howard, Rash and Alexander Funt - Order - 2009-04-08
Momentas Corporation, Howard, Rash and Alexander Funt - Notice of Hearing - 2009-03-11
Morrison, Charles
2004-08-25 - Securities Act Charles Morrison - Enforcement Summary - 2004-08-25
Charles Morrison - Order - 2003-11-24
Charles Morrison - Notice of Hearing - 2003-11-20
Charles Morrison - Statement of Allegations - 2003-11-20
Morrison, Charles
2008-01-30 - Securities Act Charles Morrison - Order - 2008-01-30
Charles Morrison - Notice of Hearing - 2007-11-08
Charles Morrison - Statement of Allegations - 2007-11-08
Muzik, Kenneth Wayne
2011-12-15 - Securities Act Kenneth Wayne Muzik - Settlement Agreement - 2011-12-15
Napper, Robert Charles
2004-02-27 - Securities Act Robert Charles Napper - Settlement Agreement - 2004-02-27
Robert Charles Napper - Amended - Statement of Allegations - 2001-02-28
Robert Charles Napper - Notice - 2000-09-29
Robert Charles Napper - Notice - 2000-08-09
Robert Charles Napper - Notice - 2000-07-13
Robert Charles Napper - Notice - 2000-06-14
Robert Charles Napper - Notice - 2000-04-12
Robert Charles Napper - Notice - 2000-03-15
Robert Charles Napper - Notice of Hearing - 2000-01-31
Robert Charles Napper - Statement of Allegations - 2000-01-31
Nicholson, John William Duncan, National Bank Financial Ltd., and Percival, Edward Gordon Alexander
2009-11-26 - Securities Act John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice - 2009-12-02
John William Duncan Nicholson, National Bank Financial Ltd. and Edward Gordon Alexander Percival - Settlement Agreement - 2009-11-25
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Decision Document - 2009-05-14
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice - 2009-02-27
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice - 2008-09-10
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice - 2008-08-13
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice - 2008-06-25
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Notice of Hearing - 2008-04-22
John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Statement of Allegations - 2008-04-22
Noram Capital Management, Inc.
2003-02-27 - Securities Act Noram Capital Management, Inc. - Letter - Notice - 2003-02-27
Noram Capital Management, Inc. - Notice - 2000-02-28
Noram Capital Management, Inc. - Notice - 1999-12-20
Noram Capital Management, Inc. - Order - 1999-12-06
Noram Capital Management, Inc. - Notice of Hearing - 1999-12-06
Noram Capital Management, Inc. - Statement of Allegations - 1999-12-06
O'Neill, Kerry John
2010-03-31 - Securities Act Kerry John O'Neill - Order - 2010-03-31
Kerry John O'Neill - Notice of Hearing - 2010-03-01
Olfert, John
2005-09-16 - Securities Act John Olfert - Enforcement Summary - 2005-09-15
OptionsXpress, Inc.
2005-09-01 - Securities Act optionsXpress, Inc. - Order - 2005-09-01
optionsXpress, Inc. - Notice of Hearing - 2005-08-17
Orange Properties (Man.) Ltd. o/a Orange Real Estate Services
2003-04-28 - Real Estate Brokers Act Orange Properties (Man.) Ltd. o/a Orange Real Estate Services - Enforcement Summary - 2003-04-28
Oslund, Dianne
2008-07-09 - Securities Act Diane Oslund - Order - 2008-07-09
Dianne Oslund - Notice of Hearing - 2008-05-23
Pangia, Teodosio Vincent
2012-01-11 - Securities Act Teodosio Vincent Pangia - Order - 2012-01-11
Teodosio Vincent Pangia - Notice of Hearing - 2011-11-23
Park, Sang H.
2008-11-26 - Securities Act Sang H. Park - Order - 2008-11-26
Sang H. Park - Notice of Hearing - 2008-09-22
Park, Trevor William
2006-07-05 - Securities Act Trevor William Park - Order - 2006-08-31
Trevor William Park - Notice of Hearing - 2006-07-05
Pasternak, Oded
2012-03-21 - Securities Act Oded Pasternak - Order - 2012-03-21
Oded Pasternak - Notice of Hearing - 2012-02-08
Paterson, John Gregory
2009-09-16 - Securities Act John Gregory Paterson - Order - 2009-09-16
John Gregory Paterson - Notice of Hearing - 2009-09-16
Penner, Jacob Edward also known as Jake Penner
2009-04-28 - Real Estate Brokers Act Jacob Edward Penner, also known as Jake Penner - Settlement Agreement - 2009-04-27
Jacob Edward Penner also known as Jake Penner - Notice - 2008-11-05
Jacob Edward Penner also known as Jake Penner - Notice - 2008-10-22
Jacob Edward Penner also known as Jake Penner - Notice - 2008-10-08
Jacob Edward Penner also known as Jake Penner - Notice - 2008-09-10
Jacob Edward Penner, also known as Jake Penner - Notice of Hearing - 2008-07-03
Jacob Edward Penner, also known as Jake Penner - Statement of Allegations - 2008-07-03
Perch, Gary Peter
2011-01-17 - Securities Act Gary Peter Perch - Notice of Discontinuance - Notice - 2011-01-17
Gary Peter Perch - Notice - 2006-08-30
Gary Peter Perch - Notice - 2006-07-19
Gary Peter Perch - Notice of Hearing - 2006-06-22
Gary Peter Perch - Statement of Allegations - 2006-06-22
Perch, Gary Peter
2006-05-01 - Securities Act Gary Peter Perch - Enforcement Summary - 2006-05-01
Perehinec, Michael Peter
2008-04-21 - Real Estate Brokers Act Michael Peter Perehinec - Notice - 2008-04-21
Michael Peter Perehinec - Notice - 2007-06-27
Michael Peter Perehinec - Notice of Hearing - 2007-03-19
Michael Peter Perehinec - Statement of Allegations - 2007-03-19
Pereira, Jose Antonio and Lopes, Mario Manuel
2002-10-09 - Real Estate Brokers Act Jose Antonio Pereira - Order - 2002-10-09
Jose Antonio Pereira - Decision Document - 2002-09-20
Jose Antonio Pereira - Decision Document - 2002-03-18
Jose Antonio Pereira - Order - 2001-10-01
Jose Antonio Pereira - Decision Document - 2001-09-26
Mario Manuel Lopes - Settlement Agreement - 2001-08-22
Jose Antonio Pereira and Mario Manuel Lopes -
Amended - Statement of Allegations - 2001-08-14
Jose Antonio Pereira and Mario Manuel Lopes - Amended - Statement of Allegations - 2001-07-10
Jose Antonio Pereira and Mario Manuel Lopes - Order - 2001-07-09
Jose Antonio Pereira and Mario Manuel Lopes - Notice of Hearing - 2001-07-04
Jose Antonio Pereira and Mario Manuel Lopes - Statement of Allegations - 2001-07-04
Jose Antonio Pereira and Mario Manuel Lopes - Order - 2001-06-22
Perry Properties Inc. and Perry, Joseph A.
2001-02-07 - Real Estate Brokers Act Joseph A. Perry - Notice - 2001-02-07
Joseph A. Perry - Statement of Allegations - 2001-01-10
Joseph A. Perry - Notice of Hearing - 2000-12-14
Planned Legacies Inc., Paul Charles Whitelaw, David Edward Harris, Righthedge Chrono-Logic Fund, Limited Partnership, Righthedge Investments Inc., Righthedge Investments, LLC, Francois Michaud doing business as Righthedge Investments, and Francois Michaud
2012-01-11 - Securities Act Francois Michaud doing business as Righthedge Investments and Francois Michaud - Order - 2012-01-11
David Edward Harris - Order - 2011-11-30
Paul Charles Whitelaw - Order - 2011-11-30
Planned Legacies Inc. - Order - 2011-11-30
Planned Legacies Inc. - Notice - 2011-11-30
Planned Legacies Inc. - Notice of Hearing - 2011-10-21
Poitras, Kip
2000-01-26 - Securities Act Kip Poitras - Settlement Agreement - 2000-01-26
Kip Poitras - Notice of Hearing - 1999-12-17
Kip Poitras - Statement of Allegations - 1999-12-17
Pro-Fund Distributors Ltd.
2002-09-11 - Securities Act Pro-Fund Distributors Ltd. - Settlement Agreement - 2002-09-11
Pro-Fund Distributors Ltd. - Notice of Hearing - 2002-08-29
Provak, Thomas Kenneth
2000-05-10 - Securities Act Thomas Kenneth Provak - Settlement Agreement - 2000-05-10
Thomas Kenneth Provak - Notice of Hearing - 2000-02-23
Thomas Kenneth Provak - Statement of Allegations - 2000-02-23
Qualico Developments West Ltd.
2007-12-20 - Securities Act Qualico Developments West Ltd. - Decision Document - 2007-12-20
Quantfx Asset Management and Shtromvaser, Lucien
2012-03-21 - Securities Act QuantFX Asset Management Inc. and Lucien Shtromvaser - Order - 2012-03-21
Quantfx Asset Management Inc. and Lucien Shtromvaser - Notice of Hearing - 2012-02-08
Rankin, Andrew Stuart Netherwood
2009-01-14 - Securities Act Andrew Stuart Netherwood Rankin - Order - 2009-01-14
Andrew Stuart Netherwood Rankin - Notice of Hearing - 2008-10-06
Ratuski, Murray Edwin
2004-02-18 - Securities Act Murray Edwin Ratuski - Order - 2004-02-18
Murray Edwin Ratuski - Order - 2003-11-05
Murray Edwin Ratuski - Settlement Agreement - 2003-06-05
Murray Edwin Ratuski - Notice of Hearing - 2003-02-24
Murray Edwin Ratuski - Statement of Allegations - 2002-10-16
Reeves, Nicholas David
2011-10-26 - Securities Act Nicholas David Reeves - Order - 2011-10-26
Nicholas David Reeves - Notice of Hearing - 2011-08-11
Reeves, Troy
2006-04-28 - Securities Act Troy Reeves - Enforcement Summary - 2006-04-28
Reid, John Lawrence
2005-02-18 - Securities Act John Lawrence Reid - Order - 2005-02-18
John Lawrence Reid - Settlement Agreement - 2004-04-28
John Lawrence Reid - Notice of Hearing - 2004-02-16
John Lawrence Reid - Statement of Allegations - 2004-02-16
Rempel, Enrique (aka Henry Rempel)
2007-12-12 - Securities Act Enrique Rempel (a.k.a.) Henry Rempel - Order - 2007-12-12
Enrique Rempel - Notice of Hearing - 2007-12-07
Renneberg, Daryl
2012-02-15 - Securities Act Daryl Renneberg - Order - 2012-02-15
Daryl Renneberg - Notice of Hearing - 2011-12-07
Robert John Harris operating as Harris Agencies
2011-06-01 - Securities Act Robert John Harris o/s Harris Agencies - Order - 2011-06-01
Robert John Harris o/a Harris Agencies - Notice of Hearing - 2011-04-15
Rothschild, Simon Meyer, De Rothschild, Simon, Rothschild, Dean George, McDonald, Dean George, Costello, David Michael and Weinstein, Simon Elah
2000-03-30 - Securities Act Simon Meyer Rothschild - Settlement Agreement - 2000-03-30
Simon Meyer Rothschild - Notice - 2000-02-29
Simon Meyer Rothschild - Enforcement Summary - 2000-02-29
Simon Meyer Rothschild - Notice of Hearing - 2000-02-07
Simon Meyer Rothschild - Statement of Allegations - 2000-02-07
Ruthven, David Malcolm
2011-02-16 - David Malcolm Ruthven - Order - 2011-02-16
David Malcolm Ruthven - Notice of Hearing - 2011-01-06
Sagert, Franklin Mark Cameron
2002-10-23 - Securities Act Franklin Mark Cameron Sagert - Settlement Agreement - 2002-10-23
Franklin Mark Cameron Sagert - Notice of Hearing - 2002-07-19
Franklin Mark Cameron Sagert - Statement of Allegations - 2002-07-19
Savage, Michael
2008-07-09 - Securities Act Michael Savage - Order - 2008-07-09
Michael Savage - Notice of Hearing - 2008-05-23
Saxon Financial Services Ltd., Saxon Consultants, Ltd., Conrad Praamsma, Todd Young, and Jack Sinni
2007-12-03 - Securities Act Saxon Financial Services Ltd., Saxon Consultants, Ltd., Conrad Praamsma, Todd Young, and Jack Sinni - Notice - 2007-12-03
Saxon Financial Services Ltd., Saxon Consultants, Ltd., Conrad Praamsma, Todd Young, and Jack Sinni - Order - 2007-11-28
Saxon Financial Services Ltd., Saxon Consultants, Ltd., Conrad Praamsma, Todd Young, and Jack Sinni - Notice of Hearing - 2007-11-07
Sayler, Richard Wayne
2011-10-26 - Securities Act Richard Wayne Sayler - Order - 2011-10-26
Richard Wayne Sayler - Notice of Hearing - 2011-08-11
Schaumer, Michael
2012-04-25 - Securities Act Michael Schaumer - Order - 2012-04-25
Michael Schaumer - Notice of Hearing - 2012-03-02
Schwab, Victor
2009-05-13 - Securities Act Victor Schwab - Order - 2009-05-13
Victor Schwab - Notice of Hearing - 2009-03-13
Sea Sun Capital Corporation, Koch, Rodney and Millington, Graham
2010-05-19 - Securities Act Graham Millington - Order - 2010-05-19
Sea Sun Capital Corporation and Rodney Koch - Order - 2010-05-19
Sea Sun Capital Corporation, Rodney Koch and Graham Millington - Order - 2010-04-22
Sea Sun Capital Corporation, Rodney Koch and Graham Millington - Notice - 2010-03-31
Sea Sun Capital Corporation, Rodney Koch and Graham Millington - Notice of Hearing - 2010-02-22
Sellars, Penny Jean
2011-03-03 - Securities Act Penny Jean Sellars - Order - 2011-03-02
Penny Jean Sellars - Notice of Hearing - 2011-01-18
Sellors, Richard Michael
2000-05-31 - Securities Act Richard Michael Sellors - Settlement Agreement - 2000-05-31
Richard Michael Sellors - Statement of Allegations - 2000-03-27
Richard Michael Sellors - Notice of Hearing - 2000-03-02
Sentes, Dean William
2003-11-26 - Securities Act Dean William Sentes - Order - 2003-11-26
Dean William Sentes - Notice of Hearing - 2003-10-30
Dean William Sentes - Statement of Allegations - 2003-10-30
Dean William Sentes - Enforcement Summary - 2003-10-09
Serediuk, William and Smith, Robert J. and Commonwealth Marketing Group Ltd.
2011-03-31 - Securities Act William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2011-03-31
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2011-01-26
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-12-01
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-10-20
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-08-04
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-05-21
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-02-26
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2010-01-19
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2009-11-04
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2009-09-16
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2009-06-10
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice - 2009-04-29
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Notice of Hearing - 2009-03-16
William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd. - Statement of Allegations - 2009-03-16
Sheldon Brounstein o/a Springfield Realty and Investment
2005-04-07 - Real Estate Brokers Act Sheldon Brounstein - Enforcement Summary - 2005-04-07
Shrupka, Harold Albert
2007-11-09 - Real Estate Brokers Act Harold Albert Shrupka - Notice - 2007-11-09
Harold Albert Shrupka - Decision Document - 2004-05-11
Harold Albert Shrupka - Amended - Statement of Allegations - 2004-01-09
Harold Albert Shrupka - Notice of Hearing - 2001-06-28
Harold Albert Shrupka - Statement of Allegations - 2001-06-28
Shumacher, Michael
2009-08-05 - Securities Act Michael Shumacher - Order - 2009-08-05
Michael Shumacher - Notice of Hearing - 2009-06-19
Sidiropoulos, Michael
2000-01-25 - Securities Act Michael Sidiropoulos - Order - 2000-01-25
Michael Sidiropoulos - Decision Document - 1999-12-30
Silverstein, Alan
2012-04-25 - Securities Act Alan Silverstein - Order - 2012-04-25
Alan Silverstein - Notice of Hearing - 2012-03-02
Simon Wilby and Michael Sirman
2011-04-06 - Securities Act Michael Sirman - Order - 2011-04-06
Michael Sirman - Order - 2011-02-23
Simon Wilby - Order - 2011-02-23
Simon Wilby and Michael Sirman - Notice of Hearing - 2011-01-12
Sinclair, Matthew Scott
2009-09-10 - Securities Act Matthew Scott Sinclair - Order - 2009-09-10
Matthew Scott Sinclair - Order - 2009-08-21
Matthew Scott Sinclair - Notice - 2009-08-19
Matthew Scott Sinclair - Notice of Hearing - 2009-08-05
Smith, Christopher
2009-08-05 - Securities Act Christopher Smith - Order - 2009-08-05
Christopher Smith - Notice of Hearing - 2009-06-19
Smylski, Robert Michael and Smylski Consulting Services Ltd. carrying on business as Money Solutions
2011-03-09 - Securities Act Robert Michael Smylski - Order - 2011-03-09
Smylski Consulting Services Ltd. carrying on Business as Money Solutions - Notice - 2011-03-09
Robert Michael Smylski and Smylski Consulting Services Ltd. carrying on business as Money Solutions - Notice of Hearing - 2011-01-18
Solara Technologies Inc. and Beattie, William Dorn
2011-06-01 - Securities Act Solara Technologies Inc. and William Dorn Beattie - Order - 2011-06-01
Solara Technologies Inc. and William Dorn Beattie - Notice of Hearing - 2011-04-15
Sookram, Ryan a.k.a. Ryan Sookrum and Wild Dog Incorporated
2008-01-31 - Securities Act Wild Dog Incorporated and Ryan Sookram - Order - 2008-01-31
Wild Dog Incorporated and Ryan Sookram - Order - 2007-10-17
Wild Dog Incorporated and Ryan Sookram - Amended - Statement of Allegations - 2007-10-09
Wild Dog Incorporated and Ryan Sookram - Notice - 2007-06-20
Wild Dog Incorporated and Ryan Sookram - Order - 2007-05-02
Wild Dog Incorporated and Ryan Sookram - Notice of Hearing - 2007-03-15
Wild Dog Incorporated and Ryan Sookram - Statement of Allegations - 2007-03-15
Spack, Donna Fern Ann
2000-07-05 - Real Estate Brokers Act Donna Fern Ann Spack - Settlement Agreement - 2000-07-05
Donna Fern Ann Spack - Notice of Hearing - 2000-04-17
Donna Fern Ann Spack - Statement of Allegations - 2000-04-17
Spence, Scott William Bradley
2010-08-16 - Securities Act Scott William Bradley Spence - Enforcement Summary - 2010-08-16
Spence, Scott William Bradley and Investia Financial Services Inc.
2011-11-15 - Securities Act Scott William Bradley Spence - Order - 2011-11-15
Investia Financial Services Inc. - Notice of Discontinuance - Notice - 2011-08-04
Scott William Bradley Spence and Investia Financial Services Inc. - Order - 2011-06-30
Scott William Bradley Spence and Investia Financial Services Inc. - Order - 2011-05-11
Scott William Bradley Spence and Investia Financial Services Inc. - Order - 2011-04-06
Scott William Bradley Spence and Investia Financial Services Inc. - Notice - 2011-02-23
Scott William Bradley Spence and Investia Financial Services Inc. - Notice of Hearing - 2011-01-18
Scott William Bradley Spence and Investia Financial Services Inc. - Statement of Allegations - 2011-01-18
Steele, Kevin Jason
2008-08-13 - Securities Act Kevin Jason Steele - Order - 2008-08-13
Kevin Jason Steele - Notice of Hearing - 2008-06-10
Stier, Christian
2001-01-10 - Securities Act Christian Stier - Settlement Agreement - 2001-01-10
Christian Stier - Notice of Hearing - 2000-11-10
Christian Stier - Statement of Allegations - 2000-11-10
Stonehouse, Calvin Alexander
2001-11-28 - Real Estate Brokers Act Calvin Alexander Stonehouse - Order - 2001-11-28
Stringer, Edna (Joan)
2004-11-01 - Real Estate Brokers Act Edna (" Joan" ) Stringer - Settlement Agreement - 2004-11-01
Edna "Joan" Stringer - Notice of Hearing - 2004-07-02
Edna "Joan" Stringer - Statement of Allegations - 2004-07-02
Syme, Robert
2007-03-12 - Securities Act Robert Syme - Order - 2007-03-12
Robert Syme - Decision Document - 2007-03-12
Robert Syme - Notice - 2007-03-09
Robert Syme - Order - 2007-02-12
Robert Syme - Notice - 2006-10-11
Robert Syme - Notice - 2006-07-26
Robert Syme - Notice of Hearing - 2006-06-26
Robert Syme - Statement of Allegations - 2006-06-26
Syme, Robert
2005-06-30 - Securities Act Robert Syme - Enforcement Summary - 2005-06-30
Synergy Alliance, LLC; Synergy Alliance Two, LLC; Synergy Alliance Fourteen, LLC; Synergy
Alliance Group, LLC; Synergy Capital Group, LLC; Synergy Equivest Group, LLC; Synergy Financial Corporation; Synergy Investment Corporation, LLC; Larry W. Tanner; Darin R. Knee; Billy Davis; Gerald W. Blerot; and Bruce Jeffrey Stewart
2004-01-16 - Securities Act Synergy Alliance - Order - 2004-01-16
Synergy Alliance - Decision Document - 2004-01-12
Synergy Alliance - Notice - 2003-09-02
Synergy Alliance - Notice - 2003-09-02
Synergy Alliance - Order - 2003-08-22
Synergy Alliance - Settlement Agreement - 2003-08-20
Synergy Alliance - Statement of Allegations - 2003-07-11
Synergy Alliance - Order - 2003-06-05
Synergy Alliance - Order - 2003-03-06
Synergy Alliance - Order - 2003-02-19
Synergy Alliance - Notice of Hearing - 2003-02-19
Szuminsky, Stefan and Palmetto Financial Services Inc.
2002-11-06 - Securities Act Stefan Szuminsky and Palmetto Financial Services Inc. - Order - 2002-11-06
Stefan Szuminsky and Palmetto Financial Services Inc. - Order - 2002-10-23
TWC Financial Corp.
2001-05-23 - Securities Act TWC Financial Corp. - Order - 2001-05-23
TWC Financial Corp. - Notice of Hearing - 2001-05-09
TWC Financial Corp. - Statement of Allegations - 2001-05-09
Tamburrino, Giuliano Angelo, Walker. Andrew Gordon and Paulson, Dale Michael
2011-04-06 - Securities Act Giulano Angelo Tamburrino - Order - 2011-04-06
Andrew Gordon Walker - Order - 2011-03-09
Dale Michael Paulson - Order - 2011-03-09
Giuliano Angelo Tamburrino, Andrew Gordon Walker and Dale Michael Paulson - Notice - 2011-03-09
Giuliano Angelo Tamburrino, Andrew Gordon Walker, and Dale Michael Paulson - Notice - 2011-02-16
Giuliano Angelo Tamburrino, Andrew Gordon Walker and Dale Michael Paulson - Notice of Hearing - 2011-01-06
Taylor, Andrew Lennox
2003-07-23 - Securities Act Andrew Lennox Taylor - Order - 2003-07-23
Andrew Lennox Taylor - Notice of Hearing - 2003-06-23
Andrew Lennox Taylor - Statement of Allegations - 2003-06-05
Andrew Lennox Taylor - Enforcement Summary - 2003-03-25
Tetrault, Roland Emile
2001-01-15 - Securities Act Roland Emile Tetrault - Order - 2001-01-15
Ronald Emile Tetrault - Decision Document - 2000-07-17
Ronald Emile Tetrault - Decision Document - 2000-02-29
Ronald Emile Tetrault - Decision Document - 1999-05-21
Roland Emile Tetrault - Notice of Hearing - 1999-02-24
Roland Emile Tetrault - Statement of Allegations - 1999-02-24
Thakur, Rajeev
2010-03-31 - Securities Act Rajeev Thakur - Order - 2010-03-31
Rajeev Thakur - Notice of Hearing - 2010-02-22
Thow, Ian Gregory
2008-12-10 - Securities Act Ian Gregory Thow - Order - 2008-12-10
Ian Gregory Thow - Notice of Hearing - 2008-09-22
Triclean Enterprises Inc.
2009-08-24 - Securities Act Triclean Enterprises Inc. - Order - 2009-08-24
Triclean Enterprises Inc. - Decision Document - 2009-08-18
Triclean Enterprises Inc. - Order - 2008-12-17
Triclean Enterprises Inc. - Notice of Hearing - 2008-10-06
Triclean Enterprises Inc. - Statement of Allegations - 2008-10-06
Tsatskin, Vadim
2012-03-21 - Securities Act Vadim Tsatskin - Order - 2012-03-21
Vadim Tsatskin - Notice of Hearing - 2012-02-08
Tulsiani, Ravinder
2012-04-25 - Securities Act Ravinder Tulsiani - Order - 2012-04-25
Ravinder Tulsiani - Notice - 2012-02-15
Ravinder Tulsiani - Notice of Hearing - 2011-12-01
Undiks, Josays Ojars
2005-11-18 - Securities Act Josays Ojars Undiks - Order - 2005-11-18
Josays Ojars Undiks - Enforcement Summary - 2005-01-28
Valentine, Mark Edward
2005-06-30 - Securities Act Mark Edward Valentine - Order - 2005-06-30
Mark Edward Valentine - Notice of Hearing - 2005-06-27
Vasilica, Mihai (Mike)
2008-08-07 - Securities Act Mihai (Mike) Vasilica - Enforcement Summary - 2008-08-07
Vieira, Sebastiao Manuel
2002-07-30 - Real Estate Brokers Act Sebastiao Manuel Vieira - Enforcement Summary - 2002-07-30
Sebastiao Manuel Vieira - Order - 2002-03-19
Sebastiao Manuel Vieira - Notice of Hearing - 2001-12-21
Sebastiao Manuel Vieira - Statement of Allegations - 2001-12-21
Vincenzo (Vincent) Sirianni,
2012-04-25 - Securities Act Vincenzo (Vincent) Sirianni - Order - 2012-04-25
Vincenzo (Vincent) Sirianni - Order - 2012-03-21
Vincenzo (Vincent) Sirianni - Notice of Hearing - 2012-02-08
Vlaovic, Djordje (George)
2003-09-23 - Securities Act Djordje "George" Vlaovic - Order - 2003-09-23
Djordje "George" Vlaovic - Decision Document - 2003-09-10
Djordje "George" Vlaovic - Amended - Statement of Allegations - 2003-04-28
Djordje "George" Vlaovic - Notice of Hearing - 2002-09-16
Djordje "George" Vlaovic - Statement of Allegations - 2002-09-16
Waitt, Thomas and BMO Nesbitt Burns
2001-05-09 - Securities Act BMO Nesbitt Burns Inc. and Thomas Waitt - Settlement Agreement - 2001-05-09
BMO Nesbitt Burns Inc. & Thomas Waitt - Notice of Hearing - 2001-05-07
BMO Nesbitt Burns Inc. & Thomas Waitt - Statement of Allegations - 2001-05-07
Walker, Allan
2012-03-21 - Securities Act Allan Walker - Order - 2012-03-21
Allan Walker - Notice of Hearing - 2012-02-08
Wealthstreet Inc., Jones, Colin David also known as David Colin Jones, and Poffenroth, Rachel
2012-04-25 - Securities Act Colin David Jones aka David Colin Jones - Order - 2012-04-25
Rachael Poffenroth - Order - 2012-04-25
Rachael Poffenroth - Order - 2012-03-21
Colin David Jone - Notice - 2012-03-21
Wealthstreet Inc. Colin David Jones a.k.a. David Colin Jones, and Rachel Poffenroth - Notice of Hearing - 2012-03-08
Wealthstreet Inc. - Order - 2012-03-02
Wellington West Capital Inc. and Manitoba Telecom Services Inc.
2000-10-17 - Securities Act Charles Douglas Spiring - Settlement Agreement - 2000-10-17
Wellington West Capital Inc. - Settlement Agreement - 2000-10-17
Charles Douglas Spiring and Wellington West Capital Inc. - Decision Document - 2000-10-17
Charles Douglas Spiring - Notice of Hearing - 2000-02-24
Wellington West Capital Inc. - Notice of Hearing - 2000-02-24
Charles Douglas Spiring - Statement of Allegations - 2000-02-24
Wellington West Capital Inc. - Statement of Allegations - 2000-02-24
Wigmore, Arthur
2010-06-10 - Securities Act Arthur Wigmore - Order - 2010-06-10
Arthur Wigmore - Notice - 2010-05-20
Arthur Wigmore - Notice of Hearing - 2010-03-03
Winnipeg Commodity Exchange Inc.
2004-11-15 - Winnipeg Commodity Exchange - Decision Document - 2004-11-15
Wladyka, Jack George
2008-05-28 - Securities Act Jack George Wladyka - Order - 2008-05-28
Jack George Wladyka - Decision Document - 2008-05-28
Jack George Wladyka - Notice - 2008-04-15
Jack George Wladyka - Notice - 2008-04-11
Jack George Wladyka - Notice - 2008-02-29
Jack George Wladyka - Notice - 2008-02-04
Jack George Wladyka - Notice - 2007-10-03
Jack George Wladyka - Notice - 2007-08-22
Jack George Wladyka - Notice - 2007-06-13
Jack George Wladyka - Notice of Hearing - 2007-04-12
Jack George Wladyka - Statement of Allegations - 2007-04-12
Worldwide Golf Resources, Inc.
2004-12-14 - Securities Act World Wide Golf Resources, Inc. - Enforcement Summary - 1997-01-01
Worley, John Winston
2003-05-22 - Securities Act John Winston Worley - Order - 2003-05-22
John Winston Worley - Notice of Hearing - 2003-05-22
John Winston Worley - Statement of Allegations - 2003-04-24
Yaworski, James Peter
2001-04-25 - Securities Act James Peter Yaworski - Settlement Agreement - 2001-04-25
James Peter Yaworski - Notice of Hearing - 2001-02-28
James Peter Yaworski - Statement of Allegations - 2001-02-28
York Rio Resources Inc., Victor York also known as Victor Georgiadis, Adam Sherman Also Known As Jason Sebrooke And Michael Chambers, Tom Parker, Joe London, Peter Robinson, Mark Roberts, Abraham Saks, Michael Walsh, and Kevin Crawford
2010-01-13 - Securities Act Adam Sherman - Order - 2010-01-13
Adam Sherman - Notice - 2009-12-07
Adam Sherman - Notice - 2009-11-25
Abraham Saks - Notice - 2009-11-17
Adam Sherman a.k.a. Jason Sebrooke, Michael Chambers, Peter Robinson and Abraham Saks - Order - 2009-10-08
York Rio Resources Inc. - Order - 2009-08-20
York Rio Resources Inc. - Notice - 2009-08-20
York Rio Resources Inc. - Notice of Hearing - 2009-07-03
Zelyony, Michael
2009-08-05 - Securities Act Michael Zelyony - Order - 2009-08-05
Michael Zelyony - Notice of Hearing - 2009-06-19
Zemlinsky, Rostislav
2012-03-07 - Securities Act Rostislav Zemlinksy - Order - 2012-03-07
Rostislav Zemlinsky - Notice of Hearing - 2012-02-08
Zitzerman, Saul Benjamin
2003-11-20 - Real Estate Brokers Act Saul Benjamin Zitzerman - Order - 2003-11-20
Saul Benjamin Zitzerman - Decision Document - 2003-11-14
Saul Benjamin Zitzerman - Notice of Hearing - 2003-10-01
Saul Benjamin Zitzerman - Statement of Allegations - 2003-09-10
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