The Manitoba Securities Commission

The Investigation and Enforcement Division investigates suspected violations of The Securities Act, The Real Estate Brokers Act, The Mortgage Dealers Act and The Commodity Futures Act.

Notices of Hearings and Statements of Allegations

A hearing will be held when issues of violations are brought forward by Manitoba Securities Commissions staff.

The allegations set out in the Statements of Allegations have been drafted as a result of an investigation by Commission Staff. These allegations have not yet been proven or disproven at a hearing.

The Manitoba Securities Commission Pre-Hearing Procedures Policy - February 20, 2004

The following is a current list of hearings that have been scheduled. The Reasons for Decision and Orders of the Commission are in the Concluded Hearings section.

Hearings

William Serediuk and Robert J. Smith and Commonwealth Marketing Group Ltd.
Hearing Dates: January 27, 2010 - 9:00 a.m. - Securities Act

William Serediuk and Robert J. Smith and Commonweath Marketing Group Ltd. - Notice - 2009-09-16
William Serediuk and Robert J. Smith and Commonweath 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

CIBC World Markets Inc, Lori Diane Johnson and Gordon Joseph Wimble
Hearing Dates: December 15, 2009 - 9:00 a.m. - Securities Act

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

Heidebrecht, Sheldon Terry and Margaret Koniuck-Petzold
Hearing Dates: November 30 - December 4, 2009 - 9:00 a.m. - Securities Act

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
Hearing Dates: T.B.A. - Securities Act

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

Patricia McLean
Hearing Dates: T.B.A. - Securities Act

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

London Property Management o/a London Property Management and Nancy Busch
Hearing Dates: T.B.A. - Real Estate Brokers Act

Nicholson, John William Duncan, National Bank Financial Ltd., and Percival, Edward Gordon Alexander
Hearing Dates: T.B.A. - Securities Act

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

Tracy Lee Kroeker, Tolan Shigeo Furusho, and Beverly Kamerling
Hearing Dates: T.B.A. - Securities Act

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

University Lab Technologies., George Theodore, Bill Ross
Hearing Dates: T.B.A. - Securities Act

University Lab Technologies Inc., George Theodore, Bill Ross - Notice - 2007-10-04
University Lab Technologies Inc., George Theodore, Bill Ross - Notice of Hearing - 2007-08-16

Promittere S & P 500 Limited, Promittere Retirement Trust, Robert James Thiessen, Neil Friesen, Robert Brian Eger and Irene Anne Aleshka
Hearing Dates: - Securities Act

Crocus Investment Fund
Hearing Dates: TBA - Stayed by Court of Appeal - Securities Act

Crocus Investment Fund - Notice - 2006-04-28
Crocus Investment Fund - Notice - 2005-10-25
Crocus Investment Fund - Decision Document - 2005-10-12
Crocus Investment Fund - Notice - 2005-09-23
Crocus Investment Fund - Notice - 2005-08-30
Crocus Investment Fund - Decision Document - 2005-08-18
Crocus Investment Fund - Notice - 2005-07-22
Crocus Investment Fund - Notice - 2005-05-26
Crocus Investment Fund - Notice - 2005-05-16
Crocus Investment Fund - Notice - 2005-05-11
Crocus Investment Fund - Notice - 2005-04-21
Crocus Investment Fund - Notice of Hearing - 2005-04-04
Crocus Investment Fund - Statement of Allegations - 2005-04-04

Perch, Gary Peter
Hearing Dates: T.B.A. - Securities Act

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

Donald Mark Werbeniuk
Hearing Dates: T.B.A. - Securities Act

Donald Mark Werbeniuk - Notice - 2006-08-30
Donald Mark Werbeniuk - Notice - 2006-07-19
Donald Mark Werbeniuk - Notice of Hearing - 2006-06-16
Donald Mark Werbeniuk - Statement of Allegations - 2006-06-16
Donald Mark Werbeniuk - Enforcement Summary - 2003-12-17

Friesen, John (Thrasher) and Futronics Inc.
Hearing Dates: T.B.A. - Securities Act

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

Court Proceedings

The Commission conducts prosecutions in Court for offences under the statutes it administers.

Provincial Court

Scott William Bradley Spence
The Securities Act, April 26 - May 4, 2010
Winnipeg, 10:00 a.m., Courtroom 314

Oceana Pictures Incorporated and Peter Christakos
The Securities Act, February 16 - 19, 2010
Winnipeg, 10:00 a.m., Courtroom 314

Barrie William Cahill
The Securities Act, November 26, 2009
Winnipeg, 10:00 a.m, Courtroom 402

John A. Ishmael
The Securities Act, November 26, 2009
Winnipeg, 10:00 a.m., Courtroom 402

Futronics and John Friesen
The Securities Act, November 26, 2009
Winnipeg, 10:00 a.m., Courtroom 402

Court of Queen's Bench

Court of Queen's Bench (Criminal)

Court of Appeal

Nicholson, John William Duncan, National Bank Financial Ltd., and Percival, Edward Gordon Alexander
The Securities Act, T.B.A.
Winnipeg

John William Duncan Nicholson, National Bank Financial Ltd., and Edward Gordon Alexander Percival - Decision Document - 2009-05-14

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