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.
New Brunswick Caution List