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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


Filter list by:

Document Type
Document TitleDateDocument TypeParties Involved
Base Finance Ltd.
Base Mortgage & Investments Ltd.
WAY, Susan Elizabeth
PDFFELGATE, Nicholas John3/2/2018Interim Cease Trade OrderFELGATE, Nicholas John
PDFFELGATE, Nicholas John2/27/2018Notice of ApplicationFELGATE, Nicholas John
PDFCURREY, Jason Michael2/27/2018ASC DecisionCURREY, Jason Michael
The Healthy Retirement Group Inc.
Sunset Creek Resources Inc.
1826487 Alberta Ltd.
PDFRobix Environmental Technologies, Inc.2/22/2018Halt Trade OrderRobix Environmental Technologies, Inc.
PDFSHAW, Logan Keith 2/16/2018Notice of HearingSHAW, Logan Keith
1681502 Alberta Ltd.
PDFAITKENS, Ronald James2/15/2018ASC DecisionAITKENS, Ronald James
BEYER, Roy Juergen
Foundation Group Capital Trust
0865701 B.C. Ltd.
Harvest Capital Management Inc.
Foundation Capital Corporation
Foundation Securities Corporation
Stoney View Crossing Inc.
Harbour View Landing Inc.
PDFZHANG, Fengjiu2/15/2018ASC DecisionZHANG, Fengjiu
PDFBluforest Inc.2/5/2018Notice of HearingBluforest Inc.
CAN, Cem (Jim)
ANDERSON, Norman David
MILLER, Charles Michael
NIKOO, Farhang (Fred) Dagostar
PDFRobix Environmental Technologies, Inc.2/2/2018Halt Trade Order
PDFZHANG, Fengjiu12/28/2017Notice of ApplicationZHANG, Fengjiu
PDFVANTOOREN, Klaas12/19/2017Settlement Agreement/UndertakingVANTOOREN, Klaas
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.
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)