Caution List

News, Alerts & Publications > Investor & Consumer Alerts  > New Brunswick Caution List

Below is a list of individuals and firms:

  • Who, based on their securities-related activity in another jurisdiction or jurisdictions, may have contacted or may contact New Brunswick residents, or  

  • Who have failed to respond to a request by Commission staff for information about their activities in New Brunswick capital markets.

These individuals and firms are not registered to trade in securities or to provide investment advice in New Brunswick. This list is not exhaustive.

If you are called by any of these individuals or firms you should exercise caution. It is always unwise to send money to someone who you know only from an unsolicited call.

To verify if a firm or individual is registered, search the online List of Registered Dealers and Advisers in New Brunswick. You may also want to check the Canadian Securities Administrators Disciplined Persons List or Investor Alerts page.

New Brunswick Caution List



Related Areas

Make a Complaint

Downloadable Resources

NBSC-Caution List 2012-2006

NB Securities Commission Caution List (2006 - 2012)

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