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.

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

On 2 July 2013, the New Brunswick Securities Commission became part of the Financial and Consumer Services Commission. 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. In June 2023, the functions and duties of the Tribunal were transferred to the Energy and Utilities Board.

Decisions by the Financial and Consumer Services Commission Database

Between
TO
1316 Result(s)

Sponagle, Quintin

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

Haley, Keith

Type: Order

Jabez Financial Services Inc.

Type: Order

JFS Credit Union

Type: Order

LeBlanc, Normand

Type: Order

Grossman, Al

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

Lanys, Steve

Type: Order
Type: Order
Type: Order

Messinger, Saul

Type: Order
Type: Order
Type: Order

Travin, Jack

Type: Order
Type: Order
Type: Order

Ulfan, Hanoch

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

Waddingham, Leonard

Type: Order
Type: Order
Type: Order

Wadhwani, Kim

Type: Order
Type: Order
Type: Order

Campbell, David

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

da Silva, Carlos

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

Limelight Capital Management Ltd.

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

Limelight Entertainment Inc.

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

Mezinski, Tom

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

Hanley, James K.

Type: Notice of Hearing
Type: Statement of Allegations

Maitland Capital Ltd.

Type: Order
Type: Order

First Global Ventures S.A.

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

Marsh Shuman, Alan

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

Baskin, David

Type: Consent Order

Brien, Alain

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