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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

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



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Filter list by:

Document Type
Document TitleDateDocument TypeParties Involved
PDFR v PEERS, Jeremy James12/12/2017Court DecisionPEERS, Jeremy James
PDFR v STEVENSON, Rand Tyler12/11/2017Court DecisionSTEVENSON, Rand Tyler
PDFSTEWART, Robert Carl11/29/2017Notice of HearingSTEWART, Robert Carl
Tamarisk Energy Corp.
PDFBENNETT, Wayne Loderick11/22/2017ASC DecisionBENNETT, Wayne Loderick
PDFThe Cash Store Financial Services Inc.11/15/2017Notice of Hearing1511419 Ontario Inc., formerly known as The Cash Store Financial Services Inc.
REYKDAL, Gordon
BLAND, Nancy
PDFMAGNESON, Allan Robert11/10/2017Interim Cease Trade OrderMAGNESON, Allan Robert
New Wave Innovations Ltd.
1111108 Alberta Ltd.
PDFMAGNESON, Allan Robert11/6/2017Notice of ApplicationMAGNESON, Allan Robert
New Wave Innovations Ltd.
1111108 Alberta Ltd.
PDFSPAETGENS, Dwight Victor10/27/2017ASC DecisionSPAETGENS, Dwight Victor
PDFKilimanjaro Capital Ltd. now known as N1 Technologies Inc.10/11/2017Notice of HearingKilimanjaro Capital Ltd. now known as N1 Technologies Inc.
PATEL, Ashmit S.
LEVY, Jonathan Harris
RASHID, Zulfikar Hussein
ZANG, John Charles
MOORE, Richard Kenneth
BUCZYNSKI, Gregory Scott
PDFMCCLURE, David Gregor 8/16/2017Settlement Agreement/UndertakingMCCLURE, David Gregor
PDFMCCLURE, David Gregor 8/16/2017Notice of Withdrawal of Notice of HearingMCCLURE, David Gregor
PDFKITTS, Brian Arthur8/2/2017Notice of HearingKITTS, Brian Arthur
Vesta Capcorp Inc.
PDFPointNorth Capital Inc.7/18/2017ASC DecisionPointNorth Capital Inc. (Applicant)
PointNorth Capital (GP) LP
PointNorth Capital (O) LP
PointNorth Capital (PNG) LP
Liquor Stores N.A. Ltd. (Respondent)
PDFPEERS Robert David7/17/2017OrderPEERS, Robert David
PDFPEERS, Jeremy James7/17/2017OrderPEERS, Jeremy James
PDFFOWLER, Kenneth Charles7/11/2017OrderFOWLER, Kenneth Charles
PDFBENNETT, Wayne Loderick7/6/2017Notice of HearingBENNETT, Wayne Loderick
PDFPEERS Jeremy James6/15/2017OrderPEERS Jeremy James
PDFCHMELYK, Ferlyn Robert John 6/14/2017ASC DecisionCHMELYK, Ferlyn Robert John
Blackbridge Financial Inc.
1735560 Alberta Ltd.
1735563 Alberta Ltd.
1751886 Alberta Ltd.
Studio 33 Inc. (formerly 1751889 Alberta Ltd.)
PDFKOSTELECKY, Joseph Anton 6/6/2017ASC DecisionKOSTELECKY, Joseph Anton
PDFLendingArch Financial Inc.6/2/2017Variation of a Cease Trade OrderLendingArch Financial Inc.
OmniArch Capital Corporation
MODI, Jay Rasik
MODI, Arti Rasik (a.k.a. Arti Rajeev Singh)
SINGH, Rajeev Jagdish
UNRAU, Rick
PDFLendingArch Financial Inc.5/19/2017Interim Cease Trade OrderLendingArch Financial Inc.
OmniArch Capital Corporation
MODI, Jay Rasik
MODI, Arti Rasik (a.k.a. Arti Rajeev Singh)
SINGH, Rajeev Jagdish
UNRAU, Rick
PDFLendingArch Financial Inc. 5/15/2017Notice of ApplicationLendingArch Financial Inc.
OmniArch Capital Corporation
MODI, Jay Rasik
MODI, Arti Rasik (a.k.a. Arti Rajeev Singh)
SINGH, Rajeev Jagdish
UNRAU, Rick
PDFAITKENS, Ronald James 4/27/2017Discontinuance of ProceedingsAITKENS, Ronald James
BEYER, Roy Juergen
Foundation Group Capital Trust
0865701 B.C. Ltd.
Harvest Capital Management Inc.
Foundation Capital Corporation
Foundation Securitites Corporation
Stoney View Crossing Inc.
Stoney View Capital Inc.
Harbour View Landing Inc.
Harbour View Capital Inc.
PDFSaint Jean Carbon Inc.4/4/2017Interim 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
and others