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  863  records as of 2017-07-26 12:00:00 AM

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Date Subject Format
2017-07-21 Aik Guan “Frankie” Lim, Scott Thomas Low, FS Financial Strategies Inc., FS Financial Services Inc., FS Financial Strategies Services Inc., FS Financial Services (Alberta) Inc., Darrell Wiebe, Chun Ying “Jim” Pan, Chung-Sheng “Johnson” Kao, CC Cornerstone Credit Ltd. (now known as Flexfi Inc.), Afshin Ardalan, WL Strategic Capital Partners Inc., George Lay, Hunter Wei-Shun Wang (aka Hunter Wei Shun Wang), FS Stellar Insurance Services Inc., Nyit Foon “Lydia” Chin, Aike Joo Lim, Verico FS Capital Inc., Gagan Deep Bachra, FS Financial Systems Inc., Chi Kay “Dixon” Wong, and Meng Cher “Philip” Tsai [Ruling]
2017-06-26 Volkmar Guido Hable [Findings]
2017-06-05 David Tuan Seng Lim, Michael Mugford and EuroHelvetia TrustCo S.A. now known as EHT Corporate Services S.A. [Findings]
2017-05-17 Brendan James Schouw and Hornby Residences Ltd. [Decision]
2017-05-01 Gurpreet Singh Bansal and Mutual Fund Dealers Association of Canada [Reasons for Decision]
2017-04-28 Christine Maria Cerisse, Laurence Frederick Austin, also known as Lawrence Frederick Austin and Thomas John Sadler [Decision]
2017-04-19 Lance Sandford Cook and CBM Canada’s Best Mortgage Corp. [Findings]
2017-04-12 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220 B.C. Ltd., 0905701 B.C. Ltd. and Organic Eco-Centre Corp. [Ruling]
2017-04-12 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220 B.C. Ltd., 0905701 B.C. Ltd. and Organic Eco-Centre Corp. [Ruling]
2017-03-09 Keith Henry Alexander [Reasons for Decision]
2017-02-28 TerraNova Partners LP, Aventine Management Group Inc., TSX Venture Exchange Inc. and Inspira Financial Inc. [Decision]
2017-02-27 Russell Chang and Mutual Fund Dealers Association of Canada [Reasons for Decision]
2017-02-20 Siu Mui “Debbie” Wong, Siu Kon “Bonnie” Soo, Wheatland Industrial Park Inc., 1300302 Alberta Inc. and D & E Arctic Investments Inc. [Decision]
2017-02-20 SunCentro Corporation, John Leonard Carswell, Robert Thomas Helina, Donald Weiss, YDS Energy, Resources and Humanitarian Relief Corporation, Yawar Sattar Khan, and David Kenge Kato [Reasons for Decision]
2017-02-14 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Decision]
2017-01-31 Christine Maria Cerisse, Laurence Frederick Austin, also known as Lawrence Frederick Austin, and Thomas John Sadler [Findings]
2017-01-24 Brendan James Schouw and Hornby Residences Ltd. [Findings]
2017-01-24 Havenplex Holdings Ltd. and Patrick Aaron Dunn [Reasons for Decision]
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]