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Regulator Decisions

Regulator’s decisions content includes orders and decisions from both FCNB and other regulatory bodies, up-to-date lists of disciplined persons, hearings, and undertakings and voluntary actions information.

On 2 July 2013, the New Brunswick Securities Commission became part of the Financial and Consumer Services Commission. Previous decisions made by a New Brunswick Securities Commission administrative tribunal panel are available here. After 2 July 2013, some matters that had commenced at the New Brunswick Commission administrative panel were continued under the Financial and Consumer Services Tribunal.

You can find decisions, including previous decisions by the former New Brunswick Securities Commission (before 2013), using the search tool below.  

Decisions by the Financial and Consumer Services Commission Database

1313 Result(s)

Ronin Group L.L.C.

Type: Statement of Allegations

Ronin Operating L.L.C.

Type: Reasons for Decisions
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

Roussel, Reginald

Type: Decision and Order

S & L Transactions Limited

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Saintonge, Aline

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Saintonge, Robert

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement
Type: Order
Type: Order
Type: Order
Type: Notice of Motion
Type: Motion

Saxon Consultants Ltd.

Type: Reasons for Decisions
Type: Order
Type: Temporary Order
Type: Statement of Allegations
Type: Notice of Hearing

Saxon Financial Services Ltd.

Type: Reasons for Decisions
Type: Order
Type: Temporary Order
Type: Statement of Allegations
Type: Notice of Hearing

Scott, Richard A.

Type: Order
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Notice of Hearing of Motion
Type: Motion

Secured Precious Metals International

Type: Notice of Adjournment of Hearing
Type: Notice of Hearing
Type: Notice to Continue
Type: Notice of Hearing
Type: Notice of Adjournment of Hearing
Type: Notice of Withdrawal
Type: Notice of Hearing
Type: Statement of Allegations

Sellars, James Edward

Type: Notice of Hearing
Type: Reasons for Decisions
Type: Reasons for Decisions
Type: Order
Type: Order

Sellars, James Edward (applicant on review)

Type: Reasons for Decision on Hearing and Review
Type: Amended and Consolidated Notice of Hearing

Shaker Management Group Inc.

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Shire Asset Management Ltd.

Type: Reasons for Decisions
Type: Order

Shire International Real Estate Investment Ltd.

Shott, Normand

Type: Decision

Sierra Madre Holdings MX, S.A. DE C.V.

Type: Reasons for Decisions

Siew Lan Hong Mulligan

Type: Reasons for Decision and Order of the Director of Consumer Affairs

Smith, Earle M.

Type: Decision and Order

Sponagle, Quintin

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations
Type: Order

St. Clair Research Associates Inc.

Type: Notice of Pre-Hearing Conference
Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement
Type: Notice of Adjournment of Hearing
Type: Amended and Consolidated Notice of Hearing
Type: Amended Notice of Hearing
Type: Amended Statement of Allegations
Type: Notice of Hearing

Strata Distribution Services Limited

Type: Decision

Strategic Energy Partners

Type: Reasons for Decisions
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

Surette, Kevin Joseph

Type: Order
Type: Notice of Discontinuance
Type: Order
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Notice of Hearing of Motion
Type: Motion

Sylvester, Julian

Type: Reasons for Decisions
Type: Order

Terrasphere Inc.

Type: Notice of Pre-Hearing Conference
Type: Notice of Hearing
Type: Statement of Allegations

Terrasphere Systems LLC

Type: Notice of Pre-Hearing Conference