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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.
| A |
| Adams, Barry |
200909 |
Saint John |
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| Altimum Mutuals Inc. |
200711 |
Toronto |
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| Amundrud, Trevor |
201250 |
Calgary |
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| Andersen, Robin |
200508 |
Edmonton |
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| Arcuri, Calogero (Charlie) |
200933 |
Toronto |
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| Arcuri, Calogero (Charlie) |
200801 |
Toronto |
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| Armstrong, Scott C. |
201037 |
Saint John |
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| Arseneau, Thomas G. |
201115 |
Fredericton |
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| ASL Direct Inc. and Adrian Samuel Leemhuis |
200832 |
Toronto |
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| B |
| Basi, Ajit |
201111 |
Vancouver |
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| Bautista, Jose Luis |
201143 |
Toronto |
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Berkshire Investment Group Inc.
|
200719 |
Vancouver |
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| Bestard, Ronald |
201125 |
Toronto |
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| Bick Financial Security Corporation |
200925 |
Toronto |
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| Brake, Gerard and Mavis |
200804 |
Winnipeg |
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| Breckenridge, Kenneth Roy |
200718 |
Toronto |
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| Brick, Robert |
200705 |
Toronto |
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| Brower-Berkhoven, Russell |
201126 |
Calgary |
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Brown, Ronald Lindsay and Brown, Dylan
|
200808 |
Toronto |
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| Brown-John, Raymond |
200502 |
Vancouver |
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Burner, Gregory James Richard
|
201004 |
Winnipeg |
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| Bytnar, Tadeusz (“Ted”) |
201015 |
Calgary |
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| C |
| Campbell, Brian Somerset |
200805 |
Vancouver |
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| Chan, Lip Fee |
200607 |
Toronto |
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Chen, Pan
|
201006 |
Vancouver |
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Chiang, Hsi Chun
|
201105 |
Vancouver |
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| Ciardullo, Luigi |
201003 |
Toronto |
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| Ciardullo, Luigi |
201226 |
Toronto |
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| Coatsworth, Donald Kenneth |
200608 |
Toronto |
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| Coleman, Barry James |
200513 |
Moncton |
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| Coleman, Donald Kent |
200511 |
Toronto |
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Connor Financial Corporation and Connor, Joel Gerrett (Gerry)
|
200943 |
Vancouver |
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Corner, Colin Michael; Halladay, Heather Darlene; Hanson, John Joseph; Moore, Richard Gerald and Rainbird, James Edward
|
200827 |
Toronto |
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| Crackower, Earl |
200506 |
Toronto |
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| Cunningham, Donald James |
200906 |
Toronto |
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| Cuthbert, Patricia |
201013 |
Vancouver |
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| D |
| Desbois, Kevin |
200822 |
Toronto |
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| Desjardins Financial Security Investments Inc. |
200908 |
Toronto |
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| De Thomas Financial Corp. |
200921 |
Toronto |
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| Devries, Scott |
201110 |
Toronto |
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| Dhindsa, Bayant |
201119 |
Vancouver |
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| Dickson, Gregory |
201106 |
Toronto |
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Disenhouse, Nathan H.
|
200927 |
Toronto |
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| Dy, Purisima |
200830 |
Toronto |
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| E |
| Evangeline Securities Limited |
200816 |
Halifax |
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Excel Financial Growth Inc.
|
200931 |
Toronto |
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| F |
| Farm Mutual Financial Services Inc. |
200812 |
Toronto |
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Fanelli, Domenic and Torchia, Michele
|
200811 |
Toronto |
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| Ferguson, Diedre |
201233 |
Toronto |
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| Franco, Michael |
201016 |
Calgary |
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| Freynet, Ronald |
200704 |
Winnipeg |
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| FundEX Investments Inc. |
200932 |
Toronto |
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| G |
Gabrielson, Bradley
|
200938 |
Calgary |
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| Gibson-Sargeant, Gillian Ann |
201001 |
Toronto |
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| Gillick, William T. |
200910 |
Toronto |
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| Gizzo, Sergio |
201024 |
Toronto |
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Golden, Gary
|
201218 |
Calgary |
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| Graveline, Dale Michael |
200606 |
Toronto |
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| Greyeyes, Glenn Murray |
200510 |
Calgary |
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| Griffiths, Cory E. |
200916 |
Calgary |
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| Groulx, Jean-Pierre |
200609 |
Toronto |
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| H |
| Hamzi, Youssef |
201118 |
Toronto |
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| Harvey, Michael Darrell |
201108 |
Toronto |
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| Harvey, Michael Labrick |
201112 |
Vancouver |
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| Hayat, Omar |
201210 |
Toronto |
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| He, Peiqing (Anna) |
201211 |
Toronto |
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| Headley, Stephan |
200509 |
Toronto |
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| Hefford, Richard |
201116 |
Winnipeg |
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| Henry, Lorne |
200702 |
Toronto |
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| Henry, Paul A. |
200917 |
Toronto |
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| Hill & Crawford Investment Management Group Ltd.
and Albert Rodney Hill |
200834 |
Toronto |
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| Ho, Raymond |
201204 |
Vancouver |
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Hoard, Graham
|
201009 |
Calgary |
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| Horvath, Martin |
200919 |
Toronto |
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| Hsueh, Bill |
201137 |
Toronto |
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| I |
| iForum Financial Services Inc. |
200603 |
Toronto |
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| Independent Accountants’ Investment Group Inc. |
201131 |
Toronto |
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| Info Financial Consulting Group Inc. |
201028 |
Toronto |
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| The Investment House of Canada Inc., Sanjiv Sawh and Vlad Trkulja |
200935 |
Toronto |
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| Investia Financial Services Inc. |
201031 |
Toronto |
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| Investors Group Financial Services Inc. |
200401 |
Toronto |
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| IOCT Financial Inc. and Michelle Bolhuis |
200903 |
Toronto |
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| IOCT Financial Inc. |
200902 |
Toronto |
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| IQON Financial Inc. |
200713 |
Vancouver |
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| Irwin, David William John |
200915 |
Toronto |
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| J |
| Jacobson, Rodney |
200712 |
Calgary |
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| Jain, Anu |
201130 |
Toronto |
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| Johns, Michael B. |
200905 |
Toronto |
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Jones, Christopher
|
201008 |
Toronto |
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| K |
| Kaley, Alden M. |
200911 |
Fredericton |
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| Kaley, Ben A. |
200923 |
Fredericton |
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| Kelly, Scott |
201214 |
Toronto |
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| Keybase Financial Group Inc. and Dax Sukhraj |
200823 |
Toronto |
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| Khodorkovski, Alex |
201216 |
Edmonton |
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| Killins, Jennifer |
201109 |
Toronto |
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| Kricievski, Mark |
200920 |
Toronto |
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| Kruss, Alan Roy |
200934 |
Toronto |
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| L |
| Ladha, Ahsan Hanif |
201205 |
Calgary |
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| Lam, Alex |
201202 |
Toronto |
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| Lamarche, Peter Bruno |
200821 |
Toronto |
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| Lambros, Mary |
201022 |
Toronto |
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| Landry, Michel |
201132 |
Toronto |
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| Larson, Wayne |
200826 |
Edmonton |
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| Laurier Capital Planning Inc. |
200833 |
Calgary |
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| Laurier Capital Planning Inc. |
201027 |
Calgary |
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| Laverdière, Luc |
200936 |
Vancouver |
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| Lawson, Douglas A. |
200907 |
Toronto |
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| Leclair, Joplin |
200803 |
Toronto |
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| Lee, Cheng Han |
201215 |
Vancouver |
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| Lee, Victor Raymond Fook Seng |
201036 |
Calgary |
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| Leer, Robert Franklin |
200710 |
Vancouver |
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| Levine, Sandra |
201224 |
Toronto |
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Levy, Jeffrey Mark
|
200825 |
Toronto |
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| Lin, Tony Tung-Yuan |
200810 |
Vancouver |
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| Lindsay, Mark |
201040 |
Toronto |
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Lipski, Piotr
|
201012 |
Vancouver |
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| Lloyd, Paul Edward |
200720 |
Toronto |
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| Lo, Ernest Ming Chung |
200512 |
Toronto |
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Longchamps, Michele and Jeffrey
|
200829 |
Toronto |
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| Lui, Punch Bun Chiu |
201124 |
Toronto |
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|
| M |
| MacDonald, Michael J. |
200716 |
Toronto |
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| MacFarlane, Anthony |
201025 |
Toronto |
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| Mahilum, Edgar |
201222 |
Toronto |
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Majdoub, Meiz
|
201010 |
Toronto |
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| Malech, Douglas D. |
200904 |
Edmonton |
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| Mammone, Roberto |
201113 |
Toronto |
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| Manulife Securities Investment Services Inc. |
200815 |
Toronto |
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| Mason, Jade |
201138 |
Halifax |
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Mazzotta, Carmine P.
|
200924 |
Toronto |
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McAuley, Chris
|
201018 |
Toronto |
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McBride, William H.
|
201023 |
Toronto |
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McLeod, Roderick Iain
|
200926 |
Toronto |
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| McPhail, Anthony |
200505 |
Toronto |
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| Merchant Capital Wealth Management Corporation |
200701 |
Toronto |
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| M. Hershberg Capital Limited |
201026 |
Toronto |
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Moerike, Carmen G.
|
200912 |
Regina |
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| Mohamed, Imtiaz |
201229 |
Toronto |
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| Monarch Wealth Corporation |
201019 |
Toronto |
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| Moro, John |
200714 |
Toronto |
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| Moyaert, Daniel L. E. |
200913 |
Toronto |
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| N |
Nerdahl, Brian Edward Mark
|
200806 |
Toronto |
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| Nivet, Christopher |
200940 |
Toronto |
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Nunweiler, Conrad
|
201030 |
Vancouver |
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| O |
| O'Brien, Leo Alexander and Snow, David Baxter |
200809 |
St. John's |
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| Olympus United Group Inc. |
200604 |
Toronto |
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| P |
| Page, Grant |
201220 |
Calgary |
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| Parke, Stanley |
201127 |
Calgary |
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| Parkinson, Robert Roy |
200501 |
Toronto |
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| Partners In Planning Financial Services Ltd. |
201032 |
Regina |
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| Peer, Ian |
201212 |
Toronto |
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| Penney, Melvin Robert |
200831 |
Moncton |
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| Peters, Chad |
201120 |
Toronto |
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| Piett, Lorne |
201206 |
Regina |
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| Pigeau, Stephen |
201223 |
Toronto |
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| Piggott, Cory |
200706 |
Toronto |
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| Popen, Stephen |
201136 |
Toronto |
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| Portfolio Strategies Corporation |
200807 |
Calgary |
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| Portfolio Strategies Corporation |
201122 |
Calgary |
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| Potter, David |
201038 |
Toronto |
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Price, Gary Alan
|
200814 |
Toronto |
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| Professional Investment Services (Canada) Inc. |
200928 |
Calgary |
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| Professional Investments (Kingston) Inc. |
200836 |
Toronto |
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| Puri, Ravi |
200715 |
Vancouver |
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| Q |
| Queensbury Strategies Inc. |
201033 |
Toronto |
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| Quigley, John |
200703 |
Toronto |
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| R |
| Rathore, Jawad |
200504 |
Toronto |
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| Rattenbury, Kenneth |
201219 |
Edmonton |
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| Raymer, Barry J. |
200835 |
Toronto |
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| Rosenfelder, Michael |
200914 |
Toronto |
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| Rounthwaite, David George |
201123 |
Toronto |
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| Ruemper, Douglas Bryan |
200941 |
Vancouver |
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| Ryan, Michael |
201014 |
Toronto |
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| Rygiel, Mary Elizabeth |
200708 |
Toronto |
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| S |
Sakkejha, Mark
|
201140 |
Toronto |
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Sampson, Terry
|
200930 |
Edmonton |
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| Sandink, Shawn |
200602 |
Toronto |
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| Satti, Faisal Amin and Ghani, Kamran |
201141 |
Toronto |
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| Scharfenberg, Kerry |
200824 |
Edmonton |
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| Schriver, Bruce Patrick |
200901 & 200918 |
Halifax |
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| Sellars, James |
201133 |
Moncton |
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| Sentinel Financial Management Corp. |
201034 |
Saskatoon |
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| Simba, Muchoki |
201114 |
Toronto |
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Sivasubramanian, Wijaysri
|
201002 |
Toronto |
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Smiechowski, Zenon
|
201007 |
Vancouver |
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Smith, Stephen
|
201017 |
Toronto |
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| Smylski, Robert |
200707 |
Calgary |
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| Spencer, Vaughan |
201139 |
Toronto |
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| St. Arnault, Douglas |
200922 |
Vancouver |
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| Sterling Mutuals Inc. |
200820 |
Toronto |
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| Stevens, Scott Andrew |
200514 |
Toronto |
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| Sullivan, Patrick |
200802 |
Vancouver |
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| T |
| Tandem Wealth Management Inc. |
200601 |
Halifax |
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| Taylor, Christophe Xavier |
201135 |
Calgary |
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| Tonnies, Arnold |
200503 |
Calgary |
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| Toussaint, Carmel |
201039 |
Toronto |
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| Triglobal Capital Management Inc. |
200828 |
Toronto |
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| V |
| Van Der Velden, Joseph and Stokman, Andrew |
200507 |
Toronto |
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Vilfort, James
|
201021 |
Toronto |
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Vitch, David Allan
|
201103 |
Toronto |
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| W |
| Wellings, Douglas |
201121 |
Toronto |
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Westgard, Kent Owen
|
200937 |
Calgary |
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| W.H. Stuart Mutuals Ltd. |
201035 |
Toronto |
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| Willis, Jeffrey |
201201 |
Toronto |
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| Wise, Jacqueline |
201213 |
Toronto |
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| Wiseman, Gideon |
201104 |
Vancouver |
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Woloshen, James
|
201029 |
Toronto |
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| Wong, Keith Oswald |
200709 |
Toronto |
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Worldsource Financial Management Inc.
|
200929 |
Toronto |
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| Y |
| Yoannou, Paul |
201235 |
Toronto |
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| Z |
| Zollo, Joseph |
200610 |
Toronto |
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