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Regulator Decisions

Regulator’s decisions content includes orders and decisions from both the Commission 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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1402 Result(s)

Todd Young

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

Al Grossman

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

Carlos da Silva

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

David Campbell

Type: Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Hanoch Ulfan

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing
Type: Consent Order
Type: Order

Limelight Capital Management Ltd.

Limelight Entertainment Inc.

Tom Mezinski

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Alan Marsh Shuman

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

First Global Ventures S.A.

Baskin Financial Services Inc.

David Baskin

Type: Reasons for Decisions
Type: Statement of Allegations

James K. Hanley

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

Jabez Financial Services Inc.

JFS Credit Union

Type: Notice of Hearing
Type: Statement of Allegations

Keith Haley

Type: Order
Type: Order
Type: Order
Type: Order
Type: Statement of Allegations
Type: Order

Normand LeBlanc

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

Quintin Sponagle

Type: Statement of Allegations
Type: Notice of Hearing

Keith Haley

Type: Order
Type: Order
Type: Notice of Hearing

Jack Travin

Type: Consent Order
Type: Order

Kim Wadhwani

Type: Consent Order
Type: Order

Leonard Waddingham

Maitland Capital Ltd.

Saul Messinger

Type: Consent Order
Type: Order

Steve Lanys

Type: Consent Order
Type: Order