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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



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Document Type
Document TitleDateDocument TypeParties Involved
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.
PDFCoastal Pacific Mining Corp.9/2/2016Notice of HearingCoastal Pacific Mining Corp.
International Securities Group Inc.
Caribbean Overseas Investments Ltd.
PDFR v STEVENSON, 2016 ABPC 2018/24/2016Court DecisionSTEVENSON, Rand Tyler
DERRICOTT, Brent Ray
SMYLSKI, Robert Michael
PDFBREITKREUTZ, Arnold 8/22/2016Notice of HearingBREITKREUTZ, Arnold
Base Finance Ltd.
Base Mortgage & Investments Ltd.
WAY, Susan Elizabeth
PDFUmbrella Merchant Services Inc.8/18/2016Interim Cease Trade OrderUmbrella Merchant Services Inc.
Umbrella Media Outdoor Inc.
YAWRENKO, Shane David
PDFNARAYAN, Saileshwar Rao8/11/2016ASC DecisionNARAYAN, Saileshwar Rao
Prosperity Development Group Ltd.
Prospera Mortgage Investment Corporation
Prospera Management Corp.
PDFUmbrella Merchant Services Inc.8/10/2016Notice of ApplicationUmbrella Merchant Services Inc.
Umbrella Media Outdoors Inc.
YAWRENKO, Shane David
PDFCHMELYK, Ferlyn Robert John8/8/2016Notice of HearingCHMELYK, 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.)
ALEXANDER, Clifford George
PDFMAJOR, Robert Jay8/3/2016Discontinuance of ProceedingsMAJOR, Robert Jay
CLEMENTS, Gary Mattison
1429250 Alberta Ltd.