Skip to main content

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

Between
TO
1314 Result(s)

One Capital Corp. Limited

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

OptionsXpress Inc.

Type: Order and Settlement Agreement

Osbourne Worldwide Limited

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

Palmer, Jim

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

Park, Sang

Type: Reasons for Decisions
Type: Order
Type: Settlement Agreement

Parker, Scott

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

Petroleum Unlimited LLC

Type: Reasons for Decisions
Type: Order

PFSL Investments Canada Limited

Type: Order

Phillips, Christopher Raymond

Type: Notice of Discontinuance
Type: Order
Type: Notice of Adjournment of Motion
Type: Notice of Hearing of Motion
Type: Motion

Porter, Ricki Landon

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

Portus Alternative Asset Management Inc.

Praamsma, Conrad

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

Praamsma, Justin

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

PriceWarner Financial LLC

Type: Order
Type: Statement of Allegations
Type: Notice of Hearing
Type: Ex-parte Temporary Order

Priest Financial Group

Type: Notice of Discontinuance
Type: Order
Type: Notice of Adjournment of Motion
Type: Notice of Hearing of Motion
Type: Motion

Priest Phillips Management Corp.

Type: Notice of Discontinuance
Type: Order
Type: Notice of Adjournment of Motion
Type: Notice of Hearing of Motion
Type: Motion

Priest Phillips Professional Corp.

Type: Notice of Discontinuance
Type: Order
Type: Notice of Adjournment of Motion
Type: Notice of Hearing of Motion

Priest, William Watson

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

Prudential Global Real Estate Corp.

Type: Reasons for Decision on Preliminary Motion
Type: Reasons for Decision on Adjournment Motion
Type: Amended Motion
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Notice of Hearing of Motion

Quéré, André

Type: Reasons for Decisions

RAK Marine International Inc.

Type: Reasons for Decision on Preliminary Motion
Type: Reasons for Decision on Adjournment Motion
Type: Amended Motion
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Notice of Hearing of Motion
Type: Motion

Regal Capital Planners Ltd.

Type: Order
Type: Decision
Type: Decision

Reynolds, Ray

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

Robichaud, Fernand

Type: Order

Rogers, Jason

Type: Reasons for Decisions
Type: Order

Ronin Group L.L.C.

Type: Reasons for Decisions
Type: Order