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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Notices, Decisions & Orders Relating to Enforcement

Below you will find material relating to ASC Staff allegations of breaches of Alberta securities laws, including final decisions and orders where breaches have been proved.

You can also find certain decisions and orders relating to issuers and registrants by viewing their respective pages.

As of July 1, 2015, certain orders made in other provinces or territories will automatically take effect in Alberta.  For more information, see Automatic Reciprocation.

See more about Enforcement at the ASC



Filter list by:

Document Type
Document TitleDateDocument TypeParties Involved
PDFJAWHARI Khalid Walid3/22/2017Settlement Agreement/UndertakingJAWHARI Khalid Walid
PDFSaint Jean Carbon Inc.3/21/2017Interim Cease Trade OrderCOOPER, Paul
PEARSON, Barry Allan
DA RIN, David Edward
MADILL, David
VAN WYCK, Dick
MACINTYRE, Donald George
SNYDER, Donald George
OGILVIE, Paul
PFAFFENBERGER, William Elmer
PDFSaint Jean Carbon Inc.3/20/2017Notice of ApplicationCOOPER, Paul
PEARSON, Barry Allan
DA RIN, David Edward
MADILL, David
VAN WYCK, Dick
MACINTYRE, Donald George
SNYDER, Donald George
OGILVIE, Paul
PFAFFENBERGER, William Elmer
PDFKOSTELECKY, Joseph Anton 3/15/2017ASC DecisionKOSTELECKY, Joseph Anton
PDFKOSTELECKY, Joseph Anton 3/14/2017ASC DecisionKOSTELECKY, Joseph Anton
PDFSPAETGENS, Dwight Victor3/8/2017ASC DecisionSPAETGENS, Dwight Victor
PDFAITKENS, Ronald James2/24/2017Court DecisionAITKENS, Ronald James
PDFPEERS, Jeremy James2/24/2017Court DecisionPEERS, Jeremy James
PDFVERMEEREN, Douglas John2/15/2017Revocation/ExpiryVERMEEREN, Douglas John
PDFCURREY, Jason Michael, The Healthy Retirement Group Inc., Sunset Creek Resources Inc., and 1826487 Alberta Ltd.2/14/2017Notice of HearingCURREY, Jason Michael
The Healthy Retirement Group Inc.
Sunset Creek Resources Inc.
1826487 Alberta Ltd.
PDFHorizon Minerals Corp.2/10/2017Halt Trade OrderHorizon Minerals Corp.
PDFCoastal Pacific Mining Corp.2/3/2017ASC DecisionCoastal Pacific Mining Corp.
PDFCHMELYK, Ferlyn Robert John2/2/2017ASC DecisionCHMELYK, Ferlyn Robert John
Blackbridge Financial Inc.
Cerezo Developments Inc.
1735560 Alberta Ltd.
1735563 Alberta Ltd.
1751886 Alberta Ltd.
Studio 33 Inc. (formerly 1751889 Alberta Ltd.)
PDFJonathan Financial Inc.; HILDERMAN, Gregory Frederick 1/23/2017Settlement Agreement/UndertakingJonathan Financial Inc.
HILDERMAN, Gregory Frederick
PDFFROST, Robert Joseph;FRANCESE, Joseph Antonio (Anthony);REED, Scott Anthony;Proforma Capital Bond (II) Corporation; and Proforma Capital Inc.1/23/2017Notice of HearingFROST, Robert Joseph
FRANCESE, Joseph Antonio (Anthony)
REED, Scott Anthony
Proforma Capital Bond (II) Corporation
Proforma Capital Inc.
PDFFAUTH, Vernon Ray1/11/2017RulingFAUTH, Vernon Ray
PDFHMS Financial Inc. 1/9/2017Revocation/ExpiryHMS Financial Inc.
FYN, Robert E.
STARK, Murray
Tamika Enterprises Inc.
The Dakota Corporation
PRETE, Gertrude Muriel
LEACHMAN, Ruby Anne
PDFCoastal Pacific Mining Corp.12/21/2016ASC DecisionCoastal Pacific Mining Corp.
International Securities Group Inc.
Caribbean Overseas Investments Ltd.
PDFKOSTELECKY, Joseph Anton 12/13/2016RulingKOSTELECKY, Joseph Anton
PDFBRADBURY, Nelson Peter11/8/2016ASC DecisionBRADBURY, Nelson Peter
PDFSPAETGENS, Dwight Victor11/7/2016ASC DecisionSPAETGENS, Dwight Victor
MURRAY, Maureen Patricia
PDFGold Lakes Corp.10/28/2016Halt Trade OrderGold Lakes Corp.
PDFSOLEJA, Danish Akhtar10/25/2016Settlement Agreement/UndertakingSOLEJA, Danish Akhtar
Dansol International Inc.
Graphite Finance Inc.
Parkview Limited Partnership
1476634 Alberta Ltd.
PDFBENNETT, Wayne Loderick9/8/2016Notice of HearingBENNETT, Wayne Loderick
Environmental Sentry Services Inc., also known as Environmental Sentry Services, Inc.
PDFCoastal Pacific Mining Corp.<9/7/2016OrderCoastal Pacific Mining Corp.
International Securities Group Inc.
Caribbean Overseas Investments Ltd.