Decisions

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Following a hearing in an enforcement proceeding, the hearing panel provides written reasons for its findings on liability or decision on sanction. This page contains panel findings and decisions relating to enforcement proceedings.

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Showing 1 - 50 of  845  records as of 2017-01-16 12:00:00 AM

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Date Subject Format
2017-01-12 TerraNova Partners LP, Aventine Management Group Inc., Inspira Financial Inc., and TSX Venture Exchange Inc. [Order]
2016-12-16 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) [Decision]
2016-11-10 0902395 B.C. Ltd. and Robert James Maddigan [Findings]
2016-11-07 Larry Keith Davis [Decision]
2016-10-24 Hecla Mining Company and Dolly Varden Silver Corporation [Reasons for Decision]
2016-10-03 William Raymond Malone [Decision]
2016-09-27 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Ruling - Adjournment]
2016-09-19 Tin Chao Alan Lau [Decision]
2016-09-06 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Ruling – Adjournment]
2016-08-22 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Findings]
2016-08-22 Hecla Mining Company and Dolly Varden Silver Corporation [Order]
2016-08-17 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Ruling – Adjournment]
2016-08-17 Thomas Arthur Williams, Global Wealth Creation Opportunities Inc., Global Wealth Creation Opportunities Inc. (Belize), Global Wealth Financial Inc., Global Wealth Creation Strategies Inc., CDN Global Wealth Creation Club RW-TW, 2002 Concepts Inc., Susan Grace Nemeth, Renee Michelle Penko, Paul Finney, Irene G. Beilstein, Christina Kiemel, Helena Yvonne Becker, Dennis Carl Weigel, Daniel Quoming Sam, Eric Clark, Sharon Downing and Robert Laudy Williams [Decision]
2016-08-05 Gordon Brent Pierce [Ruling]
2016-08-03 Inverlake Property Investment Group Inc., Wheatland Business Park Ltd. and Alfredo Miguel “Michael” Yong [Decision]
2016-08-03 William Raymond Malone [Findings]
2016-07-22 Hecla Mining Company and Dolly Varden Silver Corporation [Order]
2016-07-07 Rui Figueiredo (aka Roy Figueiredo), PARE Realty Ltd., and 0929870 B.C. Ltd. [Reasons for Decision]
2016-06-22 Larry Keith Davis [Findings]
2016-06-16 Siu Mui “Debbie” Wong, Siu Kon “Bonnie” Soo, Wheatland Industrial Park Inc., 1300302 Alberta Inc. and D & E Arctic Investments Inc. [Findings]
2016-06-15 Tin Chao Alan Lau [Findings]
2016-06-06 Mark Aaron McLeary [Decision]
2016-06-01 Gordon Brent Pierce [Ruling]
2016-05-31 John ‘Johny’ ‘JFA’ Ferdinand Alexander Spangenberg, Odyssey Renewable Growth Inc., and geoTreasuries Clean Energy Limited, all also known as ‘Clean Carbon Finance’, ‘Clean Energy Finance USA’, ‘One geoFinance’, ‘GT2 Climate Risk Bonds Inc.’, and ‘GeoSteward Inc.’ [Decision]
2016-05-30 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) [Findings]
2016-05-18 Amy May Hanna-Rogerson [Reciprocal Order]
2016-05-18 David James Rogerson [Reciprocal Order]
2016-05-18 Gurpreet Singh Pawar [Reciprocal Order]
2016-04-29 Virginia Tan, Patrick Eng Tien Tan, Marcus Soon-Keen Tan, Michael Joseph Donelson, 0994439 B.C. Ltd., Letan Investments Management and TLD Investments Inc. [Reasons]
2016-04-19 Virginia Tan, Patrick Eng Tien Tan, Marcus Soon-Keen Tan, Michael Joseph Donelson, 0994439 B.C. Ltd., Letan Investments Management and TLD Investments Inc. [Ruling]
2016-03-24 Brent Glen Jardine and Indo Global Exchange(s) Pte., Ltd. (formerly Claridge Ventures, Inc.) [Decision]
2016-03-11 John ‘Johny’ ‘JFA’ Ferdinand Alexander Spangenberg, Odyssey Renewable Growth Inc., and geoTreasuries Clean Energy Limited, all also known as ‘Clean Carbon Finance’, ‘Clean Energy Finance USA’, ‘One geoFinance’, ‘GT2 Climate Risk Bonds Inc.’, and ‘GeoSteward Inc.’ [Findings]
2016-02-22 Robert Bruce Rush and Breakthrough Financial Inc. [Decision]
2016-02-17 Doris Elizabeth Nelson [Decision]
2016-02-11 Gordon Brent Pierce [Decision]
2016-02-01 Havenplex Holdings Ltd. and Patrick Aaron Dunn [Ruling]
2016-01-14 Thomas Arthur Williams, Global Wealth Creation Opportunities Inc., Global Wealth Creation Opportunities Inc. (Belize), Global Wealth Financial Inc., Global Wealth Creation Strategies Inc., CDN Global Wealth Creation Club RW-TW, 2002 Concepts Inc., Susan Grace Nemeth, Renee Michelle Penko, Paul Finney, Irene G. Beilstein, Christina Kiemel, Helena Yvonne Becker, Dennis Carl Weigel, Daniel Quoming Sam, Eric Clark, Sharon Downing and Robert Laudy Williams [Findings]
2016-01-08 HRG Healthcare Resource Group Inc., Alexander Downie and Daniel G. Mohan [Decision]
2016-01-08 Rodney John Snider [Decision]
2015-12-14 SPYru Inc., Paradox Distributors (1992) Ltd., Echo Partners Ltd., U-GO Brands Nutritional Products Inc., Peter David Harris, Lorne Neil Cire, Christopher Andrew Burke, Millard Michael Kwasnek, and Joseph Yvan JeanClaude Thibert a.k.a. John Thibert [Decision]
2015-12-10 Mark Aaron McLeary [Findings]
2015-12-09 Wireless Wizard Technologies Inc., Raymond Michael Roger Sasseville, Edith Marie Sasseville and Richard Keller [Decision]
2015-12-08 Hong Liang Zhong [Decision]
2015-12-03 Scott Philip Lower and Investment Industry Regulatory Organization of Canada [Reasons for Decision]
2015-11-25 The Falls Capital Corp., Deercrest Construction Fund Inc., West Karma Ltd. and Rodney Jack Wharram [Decision]
2015-11-03 Red Eagle Mining Corporation, CB Gold Inc. and Batero Gold Corp. [Reasons for Decision]
2015-10-22 Rodney John Snider [Findings]
2015-10-07 Dale Edward Joseph St. Jean [Reciprocal Order]
2015-10-07 Dennis Morice [Reciprocal Order]
2015-10-07 Eric F. O’Brien [Reciprocal Order]