Enforcement Staff of the Commission receive and assess complaints concerning alleged misconduct in the Alberta capital market and investigate possible breaches of Alberta's securities laws. If Enforcement Staff believe that proceedings are warranted against one or more parties, they will launch a hearing before a Commission panel using a Notice of Hearing or will launch an action in the Provincial Court of Alberta. Both types of proceedings result in decisions determining whether Alberta's securities laws were breached and, if appropriate, orders setting out the sanctions or consequences.
Status of Proceedings
Select a respondent to view more information.
Respondent | Date | Purpose |
BROERS, Daren M. | | decision on sanction pending |
Carling Development (B.C.) Inc.
Integra Investment Services Ltd. | | decision on sanction pending |
Momentas Corporation
RASH, Howard
FUNT, Alexander
MORRISON, Suzanne
ROGERS, Malcolm | January 2009 | reciprocal application |
International Fiduciary Corp SA
BYER, Daniel Eric
STEVENSON, Malcolm Cameron Boyd
PINKETT, Preston II | January 2009 | reciprocal application |
Mortgage 1 Corporation
SAVAGE, Michael James | January 2009 | hearing into merits |
Sunningdale Group Inc.
SPAETGENS, Victor
MURRAY, Maureen | January 2009 | setting hearing date |
Malsbury Investment Corporation
MALSBURY, Shayne Lorne | January 2009 | setting hearing date |
SAVAGE, Michael James | January - February 2009 | reciprocal application |
Essen Capital Inc.
LOMAN, Kevin | February 2009 | setting hearing date |
Flag Resources (1985) Limited
Golden Briar Mines Limited
MCLEOD, Murdo Campbell
MISZCZUK, Sidney | February 2009 | hearing into merits |
ANDERSON, Benhard Andrew
STEVENSON, Leslie Ryan
SCHINDEL, Clarence
GHAZAR, Vincent Emile
DAWSON, Walter A.
CHARTRAND, Luc
GERLITZ, John G.
SCOTT, Jeffrey J.
WILSON, M. Scott | February - March 2009 | hearing into merits |
Arbour Energy Inc.
MORICE, Dennis
WEIS, Heinz
WIGMORE, Arthur
BROST, Milowe
The Institute For Financial Learning,
Group of Companies Inc.
Merendon Mining Corporation Ltd.
SORENSON, Gary | March - September 2009 | hearing into merits |
Sea Sun Capital Corporation
KOCH, Rodney
MILLINGTON, Graham | April - May 2009 | hearing into merits |
MICHAELS, Warren | May - June 2009 | hearing into merits |
1205676 Alberta Ltd., operating as “Front Row Tickets”
660648 Alberta Ltd., operating as “S & I Holdings” and “S & I Holdings (Ticket Today)”
Beaune Investments Ltd.
Windy Ridge Investments Ltd.
687576 Alberta Ltd.
1029724 Alberta Ltd.
HUNT, Jason Allan
TAMURA, Sam Sakai
PITTARELLI, Anthony
CAMPANELLI-PITTARELLI Giovanna
PILLING, Robert Claire
BEAUNE, Justin David
MCLEOD, Daniel Neil
CREASON, Jamie Craig
CREASON, Jimmy Ross
YIP JANG, Alan | June 2009 | hearing into merits |
LAVALLEE, Lambert Joseph | adjourned indefinitely | hearing into merits |
JENNIX, Roy | adjourned indefinitely | hearing on sanction |