Alerts and Warnings
Stay up-to-date on investor protection
New Brunswickers have several ways to stay informed of current frauds and scams and to find information on individuals and firms not authorized to provide investments services or have received disciplinary action.
Sign up to receive alerts from FCNB regarding investment scams and fraud happening within New Brunswick. FCNB also reports on individuals and firms in New Brunswick who have been placed on the Caution List or received a cease trade order.
CSA Investor Alerts
The Canadian Securities Administrators (CSA) co-ordinates and harmonizes regulation for the Canadian capital markets. Investors are encouraged to check the CSA’s Investor Alerts page for a list of firms to avoid.
The International Organization of Securities Commission (IOSCO) receives alerts and warnings from its members about firms not authorized to provide investment services in the jurisdiction which issued the alert or warning. Visit the IOSCO Investor Alerts Portal.
CSA Disciplined Persons List
The CSA Disciplined List is intended to assist the public and the securities industry in conducting due diligence. The list contains the names of individuals and companies disciplined by agencies in Canada.
Cease Trade Orders Database
A cease trade order (CTO) is a decision issued by a provincial or territorial securities regulatory authority or similar regulatory body against a company or an individual. CTOs are issued for reasons such as failing to meet disclosure requirements, or as a result of an enforcement action that involves an investigation of potential wrongdoing. Search the CTO database.