Enforcement Hearings - Completed Cases
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z

Regarding Case No. Location Hearings Documents
A
Adams, Barry 200909 Saint John View Details > > >
Altimum Mutuals Inc. 200711 Toronto View Details > > >
Andersen, Robin 200508 Edmonton View Details > > >
Arcuri, Calogero (Charlie) 200933 Toronto View Details > > >
Arcuri, Calogero (Charlie) 200801 Toronto View Details > > >
Armstrong, Scott C. 201037 Saint John View Details > > >
ASL Direct Inc. and Adrian Samuel Leemhuis 200832 Toronto View Details > > >
B
Basi, Ajit 201111 Vancouver View Details > > >

Berkshire Investment Group Inc.

200719 Vancouver View Details > > >
Bestard, Ronald 201125 Toronto View Details > > >
Bick Financial Security Corporation 200925 Toronto View Details > > >
Brake, Gerard and Mavis 200804 Winnipeg View Details > > >
Breckenridge, Kenneth Roy 200718 Toronto View Details > > >
Brick, Robert 200705 Toronto View Details > > >
Brown, Ronald Lindsay and Brown, Dylan
200808 Toronto View Details > > >
Brown-John, Raymond 200502 Vancouver View Details > > >
Burner, Gregory James Richard
201004 Winnipeg View Details > > >
Bytnar, Tadeusz (“Ted”) 201015 Calgary View Details > > >
C
Campbell, Brian Somerset 200805 Vancouver View Details > > >
Chan, Lip Fee 200607 Toronto View Details > > >
Chen, Pan
201006 Vancouver View Details > > >
Ciardullo, Luigi 201003 Toronto View Details > > >
Coatsworth, Donald Kenneth 200608 Toronto View Details > > >
Coleman, Barry James 200513 Moncton View Details > > >
Coleman, Donald Kent 200511 Toronto View Details > > >
Connor Financial Corporation and Connor, Joel Gerrett (Gerry)
200943 Vancouver View Details > > >
Corner, Colin Michael; Halladay, Heather Darlene; Hanson, John Joseph; Moore, Richard Gerald and Rainbird, James Edward
200827 Toronto View Details > > >
Crackower, Earl 200506 Toronto View Details > > >
Cunningham, Donald James 200906 Toronto View Details > > >
Cuthbert, Patricia 201013 Vancouver View Details > > >
D
Desbois, Kevin 200822 Toronto View Details > > >
Desjardins Financial Security Investments Inc. 200908 Toronto View Details > > >
De Thomas Financial Corp. 200921 Toronto View Details > > >
Dickson, Gregory 201106 Toronto View Details > > >
Disenhouse, Nathan H.
200927 Toronto View Details > > >
Dy, Purisima 200830 Toronto View Details > > >
E
Evangeline Securities Limited 200816 Halifax View Details > > >
Excel Financial Growth Inc.
200931 Toronto View Details > > >
F
Farm Mutual Financial Services Inc. 200812 Toronto View Details > > >
Fanelli, Domenic and Torchia, Michele
200811 Toronto View Details > > >
Franco, Michael 201016 Calgary View Details > > >
Freynet, Ronald 200704 Winnipeg View Details > > >
G
Gabrielson, Bradley
200938 Calgary View Details > > >
Gibson-Sargeant, Gillian Ann 201001 Toronto View Details > > >
Gillick, William T. 200910 Toronto View Details > > >
Gizzo, Sergio 201024 Toronto View Details > > >
Graveline, Dale Michael 200606 Toronto View Details > > >
Greyeyes, Glenn Murray 200510 Calgary View Details > > >
Griffiths, Cory E. 200916 Calgary View Details > > >
Groulx, Jean-Pierre 200609 Toronto View Details > > >
H
Headley, Stephan 200509 Toronto View Details > > >
Hefford, Richard 201116 Winnipeg View Details > > >
Henry, Lorne 200702 Toronto View Details > > >
Henry, Paul A. 200917 Toronto View Details > > >
Hill & Crawford Investment Management Group Ltd. and Albert Rodney Hill 200834 Toronto View Details > > >
Hoard, Graham
201009 Calgary View Details > > >
Horvath, Martin 200919 Toronto View Details > > >
I
iForum Financial Services Inc. 200603 Toronto View Details > > >
Info Financial Consulting Group Inc. 201028 Toronto View Details > > >
The Investment House of Canada Inc., Sanjiv Sawh and Vlad Trkulja 200935 Toronto View Details > > >
Investors Group Financial Services Inc. 200401 Toronto View Details > > >
IOCT Financial Inc. and Michelle Bolhuis 200903 Toronto View Details > > >
IOCT Financial Inc. 200902 Toronto View Details > > >
IQON Financial Inc. 200713 Vancouver View Details > > >
Irwin, David William John 200915 Toronto View Details > > >
J
Jacobson, Rodney 200712 Calgary View Details > > >
Johns, Michael B. 200905 Toronto View Details > > >
Jones, Christopher
201008 Toronto View Details > > >
K
Kaley, Alden M. 200911 Fredericton View Details > > >
Kaley, Ben A. 200923 Fredericton View Details > > >
Keybase Financial Group Inc. and Dax Sukhraj 200823 Toronto View Details > > >
Kricievski, Mark 200920 Toronto View Details > > >
Kruss, Alan Roy 200934 Toronto View Details > > >
L
Lamarche, Peter Bruno 200821 Toronto View Details > > >
Lambros, Mary 201022 Toronto View Details > > >
Larson, Wayne 200826 Edmonton View Details > > >
Laurier Capital Planning Inc. 200833 Calgary View Details > > >
Laurier Capital Planning Inc. 201027 Calgary View Details > > >
Laverdière, Luc 200936 Vancouver View Details > > >
Leclair, Joplin 200803 Toronto View Details > > >
Lee, Victor Raymond Fook Seng 201036 Calgary View Details > > >
Leer, Robert Franklin 200710 Vancouver View Details > > >
Levy, Jeffrey Mark
200825 Toronto View Details > > >
Lin, Tony Tung-Yuan 200810 Vancouver View Details > > >
Lindsay, Mark 201040 Toronto View Details > > >
Lipski, Piotr
201012 Vancouver View Details > > >
Lloyd, Paul Edward 200720 Toronto View Details > > >
Lo, Ernest Ming Chung 200512 Toronto View Details > > >
Longchamps, Michele and Jeffrey
200829 Toronto View Details > > >
M
MacDonald, Michael J. 200716 Toronto View Details > > >
MacFarlane, Anthony 201025 Toronto View Details > > >
Majdoub, Meiz
201010 Toronto View Details > > >
Malech, Douglas D. 200904 Edmonton View Details > > >
Manulife Securities Investment Services Inc. 200815 Toronto View Details > > >
Mazzotta, Carmine P.
200924 Toronto View Details > > >
McAuley, Chris
201018 Toronto View Details > > >
McBride, William H.
201023 Toronto View Details > > >
McLeod, Roderick Iain
200926 Toronto View Details > > >
McPhail, Anthony 200505 Toronto View Details > > >
Merchant Capital Wealth Management Corporation 200701 Toronto View Details > > >
M. Hershberg Capital Limited 201026 Toronto View Details > > >
Moerike, Carmen G.
200912 Regina View Details > > >
Moro, John 200714 Toronto View Details > > >
Moyaert, Daniel L. E. 200913 Toronto View Details > > >
N
Nerdahl, Brian Edward Mark
200806 Toronto View Details > > >
Nivet, Christopher 200940 Toronto View Details > > >
O
O'Brien, Leo Alexander and Snow, David Baxter 200809 St. John's View Details > > >
Olympus United Group Inc. 200604 Toronto View Details > > >
P
Parkinson, Robert Roy 200501 Toronto View Details > > >
Partners In Planning Financial Services Ltd. 201032 Regina View Details > > >
Penney, Melvin Robert 200831 Moncton View Details > > >
Piggott, Cory 200706 Toronto View Details > > >
Portfolio Strategies Corporation 200807 Calgary View Details > > >
Price, Gary Alan
200814 Toronto View Details > > >
Professional Investment Services (Canada) Inc. 200928 Calgary View Details > > >
Professional Investments (Kingston) Inc. 200836 Toronto View Details > > >
Puri, Ravi 200715 Vancouver View Details > > >
Q
Queensbury Strategies Inc. 201033 Toronto View Details > > >
Quigley, John 200703 Toronto View Details > > >
R
Rathore, Jawad 200504 Toronto View Details > > >
Raymer, Barry J. 200835 Toronto View Details > > >
Rosenfelder, Michael 200914 Toronto View Details > > >
Ruemper, Douglas Bryan 200941 Vancouver View Details > > >
Ryan, Michael 201014 Toronto View Details > > >
Rygiel, Mary Elizabeth 200708 Toronto View Details > > >
S
Sampson, Terry
200930 Edmonton View Details > > >
Sandink, Shawn 200602 Toronto View Details > > >
Scharfenberg, Kerry 200824 Edmonton View Details > > >
Schriver, Bruce Patrick 200901 & 200918 Halifax View Details > > >
Sentinel Financial Management Corp. 201034 Saskatoon View Details > > >
Sivasubramanian, Wijaysri
201002 Toronto View Details > > >
Smiechowski, Zenon
201007 Vancouver View Details > > >
Smith, Stephen
201017 Toronto View Details > > >
Smylski, Robert 200707 Calgary View Details > > >
St. Arnault, Douglas 200922 Vancouver View Details > > >
Sterling Mutuals Inc. 200820 Toronto View Details > > >
Stevens, Scott Andrew 200514 Toronto View Details > > >
Sullivan, Patrick 200802 Vancouver View Details > > >
T
Tandem Wealth Management Inc. 200601 Halifax View Details > > >
Tonnies, Arnold 200503 Calgary View Details > > >
Toussaint, Carmel 201039 Toronto View Details > > >
Triglobal Capital Management Inc. 200828 Toronto View Details > > >
V
Van Der Velden, Joseph and Stokman, Andrew 200507 Toronto View Details > > >
Vilfort, James
201021 Toronto View Details > > >
Vitch, David Allan
201103 Toronto View Details > > >
W
Wellings, Douglas 201121 Toronto View Details > > >
Westgard, Kent Owen
200937 Calgary View Details > > >
Wiseman, Gideon 201104 Vancouver View Details > > >
Woloshen, James
201029 Toronto View Details > > >
Wong, Keith Oswald 200709 Toronto View Details > > >
Worldsource Financial Management Inc.
200929 Toronto View Details > > >
Z
Zollo, Joseph 200610 Toronto View Details > > >


Disclaimer and Privacy | Print this page
Copyright © 2007 Mutual Fund Dealers Association of Canada. All rights reserved.