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  901  records as of 2018-05-27 12:00:00 AM

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Date Subject Format
2018-05-25 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Findings and Decision]
2018-05-23 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Ruling]
2018-05-16 Thalbinder Singh Poonian, Shailu Sharon Poonian, Manjit Singh Sihota and Perminder Sihota [Decision]
2018-05-11 Roy Ping Bai, also known as Ping Bai, and RBP Consulting [Decision]
2018-04-27 Stewart Douglas Loughery and Military International Limited [Findings]
2018-04-25 Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A. [FIndings]
2018-04-16 SBC Financial Group Inc. and Prabhjot Singh Bakshi [Findings]
2018-02-21 James Francis Gerard Callaghan and the TSX Venture Exchange [Order]
2018-02-19 Randi A. Bochinski [Decision]
2018-02-08 David Charles Phillips [Reciprocal Order]
2018-02-08 John Russell Wilson [Reciprocal Order]
2018-02-06 Roy Ping Bai, also known as Ping Bai, and RBP Consulting [Findings]
2018-02-02 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Decision]
2018-01-17 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos and Rahim Jiwa) [Reasons for Decision]
2018-01-15 Cinnabar Explorations Inc., Christopher James G. Bass, Daniel Grant McGee, and Dale Zucchet [Variation Order]
2018-01-15 Cinnabar Explorations Inc., Christopher James G. Bass, Daniel Grant McGee, and Dale Zucchet [Variation Order]
2018-01-15 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Variation Order]
2018-01-15 IAC – Independent Academies Canada Inc., Micron Systems Inc., Theodore Robert Everett, Leonard George Ralph, and Robert H. Duke [Variation Order]
2018-01-15 JV Raleigh Superior Holdings Inc., Maisie Smith (aka Maizie Smith), and Ingram Jeffrey Eshun [Variation Order]
2018-01-15 Manna Trading Corp Ltd., Manna Humanitarian Foundation, Legacy Capital Inc., Legacy Trust Inc., Hal (Mick) Allan McLeod, David John Vaughan, Kenneth Robert McMordie (also known as Byrun Fox), Dianne Sharon Rosiek, and Robert (Robb) Murray Perkinson [Variation Order]
2018-01-15 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 [Variation Order]
2018-01-15 Streamline Properties Inc., 0772835 B.C. Ltd., Local 1661 Building Inc., Almaval Building Inc., Jeffrey Karl Wiegel and Michael Jerome Knight [Variation Order]
2018-01-15 VerifySmart Corp. (formerly known as Verified Capital Corp.), Verified Transactions Corp., Daniel Scammell, and Casper de Beer aka Casha de Beer [Variation Order]
2018-01-15 Wireless Wizard Technologies Inc., Raymond Michael Roger Sasseville, Edith Marie Sasseville and Richard Keller [Variation Order]
2017-12-12 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220 B.C. Ltd., 0905701 B.C. Ltd. and Organic Eco-Centre Corp. [Findings]
2017-12-07 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos and Rahim Jiwa) [Order to Pay]
2017-11-16 Rene Joseph Branconnier [Reciprocal Order]
2017-11-07 Volkmar Guido Hable [Decision]
2017-10-26 Marrelli Support Services Inc. and the TSX Venture Exchange [Ruling]
2017-10-23 David Tuan Seng Lim and Michael Mugford [Decision]
2017-10-05 Marcel Anil Rada [Sec. 161(6)]
2017-10-05 Randi A. Bochinski [Reciprocal Order]
2017-09-25 CAAS Mining Corporation and Kenneth William Trociuk [Findings]
2017-09-12 Rodney M. Warren and Mutual Fund Dealers Association of Canada [Decision and Reasons]
2017-09-06 NewGen BioPharma Corp., Jerwin Alfiler, Mackie Research Capital Corporation, Zia Hirji, Karan Tak, Shane Parhar and Afsheen Somji [Ruling]
2017-08-18 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Findings]
2017-08-08 Lance Sandford Cook and CBM Canada’s Best Mortgage Corp. [Decision]
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]