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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.

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
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1316 Result(s)

Mezinski, Tom

Type: Statement of Allegations
Type: Temporary Cease Trade Order

Ulfan, Hanoch

Type: Statement of Allegations
Type: Notice of Hearing
Type: Temporary Cease Trade Order
Type: Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

Campbell, David

Type: Temporary Cease Trade Order

da Silva, Carlos

Type: Temporary Cease Trade Order

Grossman, Al

Type: Order
Type: Temporary Cease Trade Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

Lanys, Steve

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

Limelight Capital Management Ltd.

Type: Temporary Cease Trade Order

Limelight Entertainment Inc.

Type: Temporary Cease Trade Order

Locate Technologies Inc.

Type: Notice of Hearing
Type: Order

Maitland Capital Ltd.

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

Messinger, Saul

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

Travin, Jack

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

Waddingham, Leonard

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

Wadhwani, Kim

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

Brien, Alain

Type: Notice of Hearing

Investors Group Financial Services Inc.

Type: Statement of Allegations
Type: Reasons for Decisions
Type: Settlement Agreement
Type: Statement of Allegations
Type: Decision and Order

LaCroix, Vincent

Type: Order
Type: Temporary Order

OptionsXpress Inc.

Type: Order and Settlement Agreement

Fundy Minerals Ltd.

Type: Decision and Order
Type: Temporary Order

Manor, Boaz

Type: Extension Order
Type: Order

Portus Alternative Asset Management Inc.

Manulife Securities International Ltd.

Type: Reasons for Decisions
Type: Order and Settlement Agreement

Valentine, Mark Edward

Type: Order

Jarislowsky Fraser Limited

Type: Settlement Agreement

500988 N.B. Ltd.

Type: Order

Bradley Corporate Services Ltd.

Type: Order

Drever, Lorne

Type: Order

Niles, Harry

Type: Order

Tubtron Controls Corp.

Type: Order

Aegon Dealer Services Canada Inc.

Type: Settlement Agreement

Jones Heward Investment Counsel Inc

Arsenault, Emile Joseph

Type: Order and Decision

Education Fund Services Inc

Type: Order and Decision

IPC Investment Corporation

Type: Order

Regal Capital Planners Ltd.

Type: Order
Type: Decision
Type: Decision

MacDougall, MacDougall & MacTier Inc.

Bond, Gordon Arthur

Type: Decision

Heritage Financial Services Inc.

Type: Order

CMG - Worldsource Financial Services Inc.

National Bank Financial Inc.

Type: Order

Logan, Bruce R.H.

Type: Decision and Order

Fortune Investment Corp.

Type: Order

Lund, Brian

Type: Order

Wilson, Paul

Type: Order

Smith, Earle M.

Type: Decision and Order

Armstrong, Scott C.

Type: Decision and Order

Midland Walwyn Capital Inc.

Type: Decision

Vienneau, Jean-Marc

Type: Decision

Layden, Kenneth

Type: Decision

Roussel, Reginald

Type: Decision and Order

Strata Distribution Services Limited

Type: Decision

Canadian American Financial Corporation

Type: Decision
Type: Decision

Miller, Janet

Type: Decision

Lizotte, Gerard

Type: Decision

Shott, Normand

Type: Decision