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

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.

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

Berkshire Investment Group Inc.

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

201218

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

201030

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


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