Enforcement Hearings - Completed Cases
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The Notices of Hearing, Notices of Settlement Hearing and Notices of Application on the "Current Cases" page contain unproven allegations. Please refer to the "Completed Cases" page for disciplinary proceedings in which allegations have been proved.

Disclaimer:

The information provided on this webpage is for informational purposes only. Order Payment Status information is updated on a quarterly basis as at March 31, June 30, September 30 and December 31. The information on this list is current as at September 30, 2014.

Definitions:

  • Paid: Respondent has paid the fine and costs ordered against them in full.
  • Unpaid: Respondent has not paid any portion of the fines or costs ordered against them.
  • As Ordered: Respondent is paying in installments as per the terms set out in the Order.
  • Partial: Respondent has paid a portion of either the fines or the costs ordered against them, but it is not part of an installment plan set out in an Order, or the Respondent has failed to adhere to the terms of an installment plan set out in an Order.
  • Under Review: A review has been requested of the Hearing Panelís decision by the local securities regulatory authorities. Further information will be posted as it becomes available.

Regarding File No. Location Order
Payment
Status
Hearings Documents
A
Adams, Barry 200909 Saint John N/A View Details > > >
Addison, Blair 201338 Toronto   View Details > > >
Altimum Mutuals Inc. 200711 Toronto Paid View Details > > >
Amundrud, Trevor 201250 Winnipeg Paid View Details > > >
Andersen, Robin 200508 Edmonton Unpaid View Details > > >
Andrews, Don 201324 Toronto Paid View Details > > >
Appleton, Arron 201346 Toronto Paid View Details > > >
Arcuri, Calogero (Charlie) 200801 Toronto N/A View Details > > >
Arcuri, Calogero (Charlie) 200933 Toronto Partial View Details > > >
Armstrong, Scott C. 201037 Saint John Unpaid View Details > > >
Arseneau, Thomas G. 201115 Fredericton Unpaid View Details > > >
ASL Direct Inc. 200832 Toronto N/A View Details > > >
B
Bangyay, Richard 201238 Toronto Unpaid View Details > > >
Basi, Ajit 201111 Vancouver N/A View Details > > >
Batac, Ellen 201142 Toronto Unpaid View Details > > >
Bautista, Jose Luis 201143 Toronto Unpaid View Details > > >

Berkshire Investment Group Inc.

200719 Vancouver Paid View Details > > >
Bestard, Ronald 201125 Toronto Paid View Details > > >
Bick Financial Security Corporation 200925 Toronto Paid View Details > > >
Bolhuis, Michelle 200903 Toronto Partial View Details > > >
Bolt, Shawn 201305 Toronto Paid View Details > > >
Bowness, Robert 201350 Halifax Paid View Details > > >
Brake, Gerard 200804 Winnipeg Unpaid View Details > > >
Brake, Mavis 200804 Winnipeg Unpaid View Details > > >
Brauns, Peter Haralds 201203 Toronto Unpaid View Details > > >
Breckenridge, Kenneth Roy 200718 Toronto Unpaid View Details > > >
Brick, Robert 200705 Toronto Unpaid View Details > > >
Brower-Berkhoven, Russell 201126 Calgary Unpaid View Details > > >
Brown, Dylan
200808 Toronto Paid View Details > > >
Brown, Ronald Lindsay
200808 Toronto Unpaid View Details > > >
Brown-John, Raymond 200502 Vancouver Unpaid View Details > > >
Burner, Gregory James Richard
201004 Winnipeg Unpaid View Details > > >
Byce, Kelvin 201311 Toronto Paid View Details > > >
Bytnar, Tadeusz (“Ted”) 201015 Calgary Partial View Details > > >
C
Campbell, Brian Somerset 200805 Vancouver Unpaid View Details > > >
Carruthers, Orville Keith 201345 Toronto Paid View Details > > >
Cavalli, Ricardo 201259 Edmonton Unpaid View Details > > >
Cavan, Lodovico 201313 Toronto Unpaid View Details > > >
Chan, Dorothy 201257 Vancouver Unpaid View Details > > >
Chan, Lip Fee 200607 Toronto Unpaid View Details > > >
Chen, Pan
201006 Vancouver Paid View Details > > >
Chiang, Hsi Chun
201105 Vancouver Paid View Details > > >
Chin, Alfonso 201361 Toronto Unpaid View Details > > >
Ciardullo, Luigi 201003 Toronto Paid View Details > > >
Ciardullo, Luigi 201226 Toronto Unpaid View Details > > >
Clarke, William 201356 Edmonton Paid View Details > > >
Coatsworth, Donald Kenneth 200608 Toronto Unpaid View Details > > >
Coleman, Barry James 200513 Moncton Unpaid View Details > > >
Coleman, Donald Kent 200511 Toronto Unpaid View Details > > >
Colinares, Felizaids 201312 Toronto N/A View Details > > >
Comeau, Jack 201217 Saskatoon Under Review View Details > > >
Connor Financial Corporation
200943 Vancouver N/A View Details > > >
Connor, Joel Gerrett (Gerry)
200943 Vancouver Paid View Details > > >
Cormylo, William 201323 Calgary   View Details > > >
Corner, Colin Michael
200827 Toronto Paid View Details > > >
Crackower, Earl 200506 Toronto Unpaid View Details > > >
Cunningham, Donald James 200906 Toronto Paid View Details > > >
Cuthbert, Patricia 201013 Vancouver Unpaid View Details > > >
D
Daues, Byron H. 201339 Toronto As Ordered View Details > > >
Deming, Penny 201337 Vancouver   View Details > > >
Desbois, Kevin 200822 Toronto Unpaid View Details > > >
Desjardins Financial Security Investments Inc. 200908 Toronto Paid View Details > > >
De Thomas Financial Corp. 200921 Toronto Paid View Details > > >
Devries, Scott 201110 Toronto Paid View Details > > >
DeVuono, Enzo
201102 Vancouver Unpaid View Details > > >
Dhindsa, Bayant 201119 Vancouver Unpaid View Details > > >
Dickson, Gregory 201106 Toronto Unpaid View Details > > >
Disenhouse, Nathan H.
200927 Toronto Paid View Details > > >
Dunn, Michael 201302 Toronto Paid View Details > > >
Durotoye, Adeolu 201328 Toronto As Ordered View Details > > >
Dy, Purisima 200830 Toronto Unpaid View Details > > >
E
Evangeline Securities Limited 200816 Halifax Paid View Details > > >
Excel Financial Growth Inc.
200931 Toronto Paid View Details > > >
F
Fanelli, Domenic
200811 Toronto Paid View Details > > >
Farm Mutual Financial Services Inc. 200812 Toronto Unpaid View Details > > >
Ferguson, Diedre 201233 Toronto Unpaid View Details > > >
Franco, Michael 201016 Calgary Unpaid View Details > > >
Freynet, Ronald 200704 Winnipeg Paid View Details > > >
Fried, Mervyn 201242 Vaughan Paid View Details > > >
FundEX Investments Inc. 200932 Toronto Paid View Details > > >
G
Gabrielson, Bradley
200938 Calgary Paid View Details > > >
Gaminde, Hazel 201142 Toronto Unpaid View Details > > >
Gaunt, Geoffrey
201232 Halifax Unpaid View Details > > >
Ghani, Kamran 201141 Toronto Unpaid View Details > > >
Gibson-Sargeant, Gillian Ann 201001 Toronto N/A View Details > > >
Gillick, William T. 200910 Toronto Paid View Details > > >
Gizzo, Sergio 201024 Toronto Unpaid View Details > > >
Golden, Gary

201218

Winnipeg Paid View Details > > >
Gragasin, Donato 201249 Winnipeg Unpaid View Details > > >
Graveline, Dale Michael 200606 Toronto Unpaid View Details > > >
Greenberg, Murray 201326 Calgary   View Details > > >
Greyeyes, Glenn Murray 200510 Calgary Unpaid View Details > > >
Griffith, Bradley 201329 Toronto Paid View Details > > >
Griffiths, Cory E. 200916 Calgary Paid View Details > > >
Groulx, Jean-Pierre 200609 Toronto N/A View Details > > >
H
Halladay, Heather Darlene
200827 Toronto Paid View Details > > >
Hamzi, Youssef 201118 Toronto Unpaid View Details > > >
Hanson, John Joseph
200827 Toronto N/A View Details > > >
Harvey, Michael Darrell 201108 Toronto Unpaid View Details > > >
Harvey, Michael Labrick 201112 Vancouver Unpaid View Details > > >
Hayat, Omar 201210 Toronto Unpaid View Details > > >
Haylock, Kimberly 201243 Toronto Paid View Details > > >
He, Peiqing (Anna) 201211 Toronto Paid View Details > > >
Headley, Stephan 200509 Toronto Unpaid View Details > > >
Hefford, Richard 201116 Winnipeg Paid View Details > > >
Henry, Lorne 200702 Toronto Unpaid View Details > > >
Henry, Paul A. 200917 Toronto Unpaid View Details > > >
Henschel, Stuart 201319 Calgary Unpaid View Details > > >
Hesselink, Christiaan Albert 201315 Toronto Unpaid View Details > > >
Hill, Albert Rodney 200834 Toronto Unpaid View Details > > >
Hill & Crawford Investment Management Group Ltd. 200834 Toronto Unpaid View Details > > >
Ho, Raymond 201204 Vancouver Paid View Details > > >
Hoard, Graham
201009 Calgary Unpaid View Details > > >
Horvath, Martin 200919 Toronto Unpaid View Details > > >
Hsueh, Bill 201137 Toronto Unpaid View Details > > >
Huang, Xiaodan 201253 Toronto Unpaid View Details > > >
Hunt, Barry 201342 Toronto Unpaid View Details > > >
I
iForum Financial Services Inc. 200603 Toronto N/A View Details > > >
Independent Accountants’ Investment Group Inc. 201131 Toronto Paid View Details > > >
Info Financial Consulting Group Inc. 201028 Toronto Paid View Details > > >
Investia Financial Services Inc. 201031 Toronto Paid View Details > > >
The Investment House of Canada Inc. 200935 Toronto Paid View Details > > >
Investors Group Financial Services Inc. 200401 Toronto Paid View Details > > >
IOCT Financial Inc. 200903 Toronto N/A View Details > > >
IOCT Financial Inc. 200902 Toronto N/A View Details > > >
IQON Financial Inc. 200713 Vancouver Paid View Details > > >
Irwin, David William John 200915 Toronto Partial View Details > > >
Izzio, Peter 201355 Toronto Paid View Details > > >
J
Jacobson, Rodney 200712 Calgary Paid View Details > > >
Jain, Anu 201130 Toronto Paid View Details > > >
Johns, Michael B. 200905 Toronto Paid View Details > > >
Jones, Christopher
201008 Toronto Unpaid View Details > > >
K
Kaley, Alden M. 200911 Fredericton Paid View Details > > >
Kaley, Ben A. 200923 Fredericton Paid View Details > > >
Kant, Michael 201357 Edmonton Paid View Details > > >
Kelly, Scott 201214 Toronto Unpaid View Details > > >
Keshet, Menashe 201419 Toronto Paid View Details > > >
Keybase Financial Group Inc. 200823 Toronto Paid View Details > > >
Khodorkovski, Alex 201216 Edmonton Unpaid View Details > > >
Killins, Jennifer 201109 Toronto Partial View Details > > >
Kricievski, Mark 200920 Toronto Paid View Details > > >
Kruss, Alan Roy 200934 Toronto Paid View Details > > >
L
Ladha, Ahsan Hanif 201205 Calgary Paid View Details > > >
Lam, Alex 201202 Toronto Paid View Details > > >
Lamarche, Peter Bruno 200821 Toronto Paid View Details > > >
Lambros, Mary 201022 Toronto Paid View Details > > >
Landry, Michel 201132 Toronto Paid View Details > > >
Larson, Wayne 200826 Edmonton Partial View Details > > >
Latour, Gilles 201432 Toronto N/A View Details > > >
Lau, Angie 201335 Toronto Paid View Details > > >
Laurier Capital Planning Inc. 200833 Calgary N/A View Details > > >
Laurier Capital Planning Inc. 201027 Calgary Paid View Details > > >
Laverdière, Luc 200936 Vancouver Unpaid View Details > > >
Lawson, Douglas A. 200907 Toronto Paid View Details > > >
Leclair, Joplin 200803 Toronto Unpaid View Details > > >
Lee, Cheng Han 201215 Vancouver Unpaid View Details > > >
Lee, Victor Raymond Fook Seng 201036 Calgary Paid View Details > > >
Leemhuis, Adrian Samuel 200832 Toronto Paid View Details > > >
Leer, Robert Franklin 200710 Vancouver Paid View Details > > >
Legare, Marlene
200813 Vancouver Unpaid View Details > > >
Levine, Sandra 201224 Toronto Unpaid View Details > > >
Levy, Jeffrey Mark
200825 Toronto Unpaid View Details > > >
Lin, Christina 201211 Toronto N/A View Details > > >
Lin, Tony Tung-Yuan 200810 Vancouver N/A View Details > > >
Lindsay, Mark 201040 Toronto Unpaid View Details > > >
Lipovetsky, Daniel 201252 Toronto Unpaid View Details > > >
Lipski, Piotr
201012 Vancouver Unpaid View Details > > >
Lloyd, Paul Edward 200720 Toronto Unpaid View Details > > >
Lo, Ernest Ming Chung 200512 Toronto Unpaid View Details > > >
Longchamps, Jeffrey
200829 Toronto Unpaid View Details > > >
Longchamps, Michele
200829 Toronto Unpaid View Details > > >
Lui, Punch Bun Chiu 201124 Toronto Unpaid View Details > > >
M
Macareag, Dandy 201142 Toronto Unpaid View Details > > >
MacDonald, Michael J. 200716 Toronto Unpaid View Details > > >
MacFarlane, Anthony 201025 Toronto Paid View Details > > >
Mahilum, Edgar 201222 Toronto Unpaid View Details > > >
Majdoub, Meiz
201010 Toronto Unpaid View Details > > >
Malech, Douglas D. 200904 Edmonton Paid View Details > > >
Mammone, Roberto 201113 Toronto Paid View Details > > >
Man, Barbara 201314 Toronto Unpaid View Details > > >
Manulife Securities Investment Services Inc. 200815 Toronto Paid View Details > > >
Martin, Cesar 201142 Toronto Unpaid View Details > > >
Mason, Jade 201138 Halifax Paid View Details > > >
Mawer, Bruce 201331 Edmonton Unpaid View Details > > >
Maynes, William 201247 Toronto Unpaid View Details > > >
Mazzotta, Carmine P.
200924 Toronto Paid View Details > > >
McAuley, Chris
201018 Toronto Unpaid View Details > > >
McBride, William H.
201023 Toronto N/A View Details > > >
McIntosh, Leslie 201208 Calgary Unpaid View Details > > >
McKale, Michael 201333 Toronto Paid View Details > > >
McLeod, Roderick Iain
200926 Toronto Paid View Details > > >
McPhail, Anthony 200505 Toronto Unpaid View Details > > >
McPherson, Corey 201209 Victoria Paid View Details > > >
Merchant Capital Wealth Management Corporation 200701 Toronto N/A View Details > > >
M. Hershberg Capital Limited 201026 Toronto Paid View Details > > >
Moerike, Carmen G.
200912 Regina Paid View Details > > >
Mohamed, Imtiaz 201229 Toronto Paid View Details > > >
Monarch Wealth Corporation 201019 Toronto Paid View Details > > >
Moore, Richard Gerald
200827 Toronto Paid View Details > > >
Moro, John 200714 Toronto Paid View Details > > >
Moyaert, Daniel L. E. 200913 Toronto Unpaid View Details > > >
N
Negri, Cesidio 201234 Toronto Paid View Details > > >
Nerdahl, Brian Edward Mark
200806 Toronto Paid View Details > > >
Nivet, Christopher 200940 Toronto Paid View Details > > >
Nunweiler, Conrad

201030

Vancouver Unpaid View Details > > >
O
O'Brien, Leo Alexander 200809 St. John's Unpaid View Details > > >
Ocampo, Lilibeth 201142 Toronto   View Details > > >
Ogalino, Estrella 201248 Toronto Unpaid View Details > > >
Olympus United Group Inc. 200604 Toronto N/A View Details > > >
P
Page, Grant 201220 Winnipeg Paid View Details > > >
Parke, Stanley 201127 Calgary Paid View Details > > >
Parkinson, Robert Roy 200501 Toronto Unpaid View Details > > >
Partners In Planning Financial Services Ltd. 201032 Regina Paid View Details > > >
Pattenden, Brodie 201354 Calgary Paid View Details > > >
PDQ Financial Services Inc. 201234 Toronto N/A View Details > > >
Peer, Ian 201212 Toronto Paid View Details > > >
Penney, Melvin Robert 200831 Moncton Partial View Details > > >
Peters, Chad 201120 Toronto Paid View Details > > >
Piett, Lorne 201206 Regina Unpaid View Details > > >
Pigeau, Stephen 201223 Toronto Unpaid View Details > > >
Piggott, Cory 200706 Toronto Unpaid View Details > > >
Pizzimenti, Domenic 201302 Toronto Paid View Details > > >
Poncelet, Brian 201347 Toronto Paid View Details > > >
Popen, Stephen 201136 Toronto Unpaid View Details > > >
Portfolio Strategies Corporation 200807 Calgary Paid View Details > > >
Portfolio Strategies Corporation 201122 Calgary Paid View Details > > >
Potter, David 201038 Toronto Paid View Details > > >
Powell, Katrina 201326 Calgary   View Details > > >
Pretty, Arthur George 201128 Corner Brook N/A View Details > > >
Price, Gary Alan
200814 Toronto Paid View Details > > >
Professional Investment Services (Canada) Inc. 200928 Calgary Paid View Details > > >
Professional Investments (Kingston) Inc. 200836 Toronto Paid View Details > > >
Puri, Ravi 200715 Vancouver Unpaid View Details > > >
Q
Qi, Zhengwen 201253 Toronto Unpaid View Details > > >
Queensbury Strategies Inc. 201033 Toronto Paid View Details > > >
Quigley, John 200703 Toronto Unpaid View Details > > >
R
Rainbird, James Edward
200827 Toronto Paid View Details > > >
Rathore, Jawad 200504 Toronto Unpaid View Details > > >
Rattenbury, Kenneth 201219 Edmonton Paid View Details > > >
Raymer, Barry J. 200835 Toronto Paid View Details > > >
Roche, Blair 201420 Calgary   View Details > > >
Rosenfelder, Michael 200914 Toronto Paid View Details > > >
Roskaft, Reginald 201317 Toronto Unpaid View Details > > >
Rounthwaite, David George 201123 Toronto Paid View Details > > >
Roy, Duane 201343 Toronto Paid View Details > > >
Ruemper, Douglas Bryan 200941 Vancouver Partial View Details > > >
Rush, Robert Bruce 201241 Vancouver Under Review View Details > > >
Ryan, Michael 201014 Toronto Unpaid View Details > > >
Rygiel, Mary Elizabeth 200708 Toronto Paid View Details > > >
S
Sakkejha, Mark
201140 Toronto Paid View Details > > >
Sampson, Terry
200930 Edmonton N/A View Details > > >
Sandink, Shawn 200602 Toronto Unpaid View Details > > >
Sarker, Saifur 201327 Toronto Unpaid View Details > > >
Satti, Faisal Amin 201141 Toronto Unpaid View Details > > >
Sawh, Sanjiv 200935 Toronto Paid View Details > > >
Scharfenberg, Kerry 200824 Edmonton Unpaid View Details > > >
Schriver, Bruce Patrick 200901 & 200918 Halifax Unpaid View Details > > >
Scribnock, James 201322 Toronto Unpaid View Details > > >
Sellars, James 201133 Moncton Paid View Details > > >
Sentinel Financial Management Corp. 201034 Saskatoon Paid View Details > > >
Shaw, Robert Andrew 201359 Toronto   View Details > > >
Simba, Muchoki 201114 Toronto Unpaid View Details > > >
Singh, Ashutosh 201349 Toronto Unpaid View Details > > >
Sivasubramanian, Wijaysri
201002 Toronto Unpaid View Details > > >
Smiechowski, Zenon
201007 Vancouver Paid View Details > > >
Smilestone, Hugh 201129 Halifax Paid View Details > > >
Smith, Stephen
201017 Toronto Unpaid View Details > > >
Smylski, Robert 200707 Calgary Paid View Details > > >
Snow, David Baxter 200809 St. John's Unpaid View Details > > >
Sobrevilla, Arsenio 201351 Winnipeg Unpaid View Details > > >
Sowunmi, Sofela 201328 Toronto Paid View Details > > >
Spencer, Vaughan 201139 Toronto Unpaid View Details > > >
St. Arnault, Douglas 200922 Vancouver Paid View Details > > >
Sterling Mutuals Inc. 200820 Toronto Paid View Details > > >
Stevens, Scott Andrew 200514 Toronto Unpaid View Details > > >
Stokman, Andrew 200507 Toronto Partial View Details > > >
Stones, Jeremy 201245 Toronto Unpaid View Details > > >
Stuart, Marilyn Dianne 201308 Toronto N/A View Details > > >
Sukhraj, Dax 200823 Toronto Paid View Details > > >
Sulkers, Collin 201318 Winnipeg Unpaid View Details > > >
Sullivan, Patrick 200802 Vancouver Paid View Details > > >
T
Tan, Keith Kee-Peng 201211 Toronto Paid View Details > > >
Tandem Wealth Management Inc. 200601 Halifax N/A View Details > > >
Taylor, Christophe Xavier 201135 Calgary Unpaid View Details > > >
Teelucksingh, Edmund 201254 Toronto Unpaid View Details > > >
Theroux, Alain 201307 Toronto Unpaid View Details > > >
Tong, Tony Siu Fai 201239 Calgary Unpaid View Details > > >
Tonnies, Arnold 200503 Calgary Unpaid View Details > > >
Torchia, Michele
200811 Toronto Unpaid View Details > > >
Toussaint, Carmel 201039 Toronto Unpaid View Details > > >
Triglobal Capital Management Inc. 200828 Toronto N/A View Details > > >
Trkulja, Vlad 200935 Toronto Paid View Details > > >
V
VandenBoomen, Elizabeth 201306 Toronto Unpaid View Details > > >
Van Der Velden, Joseph 200507 Toronto Unpaid View Details > > >
Vilfort, James
201021 Toronto Unpaid View Details > > >
Villarin, Dennis 201352 Winnipeg Unpaid View Details > > >
Vitch, David Allan
201103 Toronto Unpaid View Details > > >
W
Wellings, Douglas 201121 Toronto Unpaid View Details > > >
Westgard, Kent Owen
200937 Calgary Unpaid View Details > > >
W.H. Stuart Mutuals Ltd. 201035 Toronto Paid View Details > > >
W. H. Stuart Mutuals Ltd. 201308 Toronto N/A View Details > > >
Willis, Jeffrey 201201 Toronto Unpaid View Details > > >
Wise, Jacqueline 201213 Toronto Paid View Details > > >
Wiseman, Gideon 201104 Vancouver Unpaid View Details > > >
Woloshen, James
201029 Toronto Unpaid View Details > > >
Wong, Keith Oswald 200709 Toronto Paid View Details > > >
Worldsource Financial Management Inc.
200929 Toronto Paid View Details > > >
Y
Yoannou, Paul 201235 Toronto Unpaid View Details > > >
Young, Jeffrey 201324 Toronto Paid View Details > > >
Z
Zhang, Wei William 201309 Toronto Unpaid View Details > > >
Zhou, Yue Brenda 201211 Toronto N/A View Details > > >
Zollo, Joseph 200610 Toronto N/A View Details > > >


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