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  917  records as of 2018-11-20 12:00:00 AM

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Date Subject Format
2018-11-09 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Decision]
2018-11-02 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Decision]
2018-11-02 Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A. [Ruling]
2018-10-31 Roberto Castano [Reciprocal Order]
2018-10-31 Shariff Chandran [Reciprocal Order]
2018-10-24 Alan Braun, Jerry Braun, Steven Maxwell (aka Steven Fassman), Braun Developments (B.C.) Ltd., 8022275 Canada Inc. and 0985812 B.C. Ltd. (dba TerraCorp Investment Ltd.) [Findings]
2018-10-24 Chilean Metals Inc. and TSX Venture Exchange [Order]
2018-10-19 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Decision]
2018-10-12 Mountainstar Gold Inc. and Brent Hugo Johnson [Findings]
2018-10-09 Matthew John Hamilton and Braeden William Sinclair Lichti (aka Braeden Sinclair) [Findings]
2018-10-05 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Ruling]
2018-09-19 Larry Keith Davis [Decision]
2018-09-18 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Ruling]
2018-09-05 SBC Financial Group Inc. and Prabhjot Singh Bakshi [Decision]
2018-08-08 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220 B.C. Ltd. and 0905701 B.C. Ltd. [Decision]
2018-07-05 Investment Industry Regulatory Organization of Canada and Alberto Tassone [Decision and Reasons]
2018-05-24 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Findings and Decision]
2018-05-22 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]