Other Regulator Decisions
Administrative tribunal hearing decisions and settlement agreements are public records.
From other regulatory bodies
Canadian securities regulatory authorities and tribunals who oversee securities regulation in their respective provinces or territories update the Cease Trade Order Database.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.
MFDA is the national self-regulatory organization for the distribution side of the Canadian mutual fund industry.
Recently disciplined persons
The Canadian Securities Administrators publishes a disciplined persons list intended to assist the public and the securities industry in conducting due diligence.
If an investment or financial adviser* or broker has ever been disciplined for bad practices, a record of their discipline will be available on the Disciplined Persons List.
To verify if a firm or individual is registered, use the National Registration Search tool from the Canadian Securities Administrators.
Use the following links to access documents related to previous and new proceedings.
If you have any questions or are unsure about the results of your background search, please contact us.
- Previous Notices of Hearings, Statements of Allegations, Orders, Decisions, and other documents in relation to proceedings held before a New Brunswick Securities Commission administrative tribunal panel. (This page also includes materials relating to new proceedings commenced by FCNB Enforcement staff.)
- Recent decisions by the Financial and Consumer Services Commission
- Decisions of the Financial and Consumer Services Tribunal and upcoming hearings before the Tribunal
- Canadian Securities Administrators' Cease Trade Order Database
Undertakings and voluntary actions
The following undertakings have been requested because the parties listed below appeared to have been engaged in unregistered activity or have otherwise violated securities law. The parties have agreed to discontinue activities described in the undertaking voluntarily.
* The term ’financial adviser’ is not an official category of registration. For the purposes of this website it includes: securities dealers; advisers; dealing representatives; advising representatives; or other registrants.
- Marie France Dayan 2014-04-15
- Richard A Scott 2014-03-03
- David S Oliver 2013-07-19
- Stephen D Hove 2013-07-15
- Cognitiv Inc 2013-07-15
- Michael Lewis 2013-07-15
- Secured Precious Metals International Inc 2012-03-26
- Action Twenty Ltd 2012-03-23
- James Edward VanBlaricum 2012-10-30
- Texas Energy Management 2012-10-30
- Kevin Joseph Surette 2012-09-14
- Forex Global Solutions Inc 2012-04-30
- Falcon Petroleum Resources 2012-03-23
- Managed Petroleum Group Inc 2012-01-23
- Global Med Technologies Group Inc 2011-01-25
- Gulf Shine Mining Inc 2011-03-17
Other regulated sectors
The following undertakings have been requested because the parties listed below appeared to have engaged in unlicensed activity or have otherwise violated legislation administered by the Financial and Consumer Services Commission. The parties have agreed to discontinue activities described in the undertaking voluntarily.
Failing to comply with an undertaking is a serious offence under legislation administered by the Financial and Consumer Services Commission. If you believe a person or company has violated an undertaking listed here, you should contact us.
- Co-operators Life Insurance 2021-05-18