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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
PDFSPAETGENS, Dwight Victor12/3/2018Court DecisionSPAETGENS, Dwight Victor
PDFFAUTH, Vernon Ray11/8/2018ASC DecisionFAUTH, Vernon Ray
PDFCOHODES Marc Culver10/10/2018RulingCOHODES Marc Culver
PDFMOORE, Richard Kenneth9/27/2018Settlement Agreement/UndertakingMOORE, Richard Kenneth
PDFMOORE, Richard Kenneth9/27/2018Notice of Withdrawal of Notice of HearingMOORE, Richard Kenneth
PDFSeton Securities International Ltd.9/10/2018Notice of Withdrawal of Notice of HearingSeton Securities International Ltd.
PDFSeton Securities International Ltd.9/7/2018Settlement Agreement/UndertakingSeton Securities International Ltd.
PDFUmbrella Media Outdoor Inc.8/28/2018Revocation/ExpiryUmbrella Media Outdoor Inc.
PDFYAWRENKO, Shane David8/17/2018Settlement Agreement/UndertakingYAWRENKO, Shane David
Umbrella Merchant Services Inc.
PDFCOHODES, Marc Culver8/3/2018Notice of ApplicationCOHODES, Marc Culver
PDFedatanetworks Inc.7/24/2018Undertakingedatanetworks Inc.
TIETZEN, Terrence (Terry) Patrick
PDFFELGATE, Nicholas John7/11/2018Interim Cease Trade OrderFELGATE, Nicholas John
PDFKilimanjaro Capital Ltd. now known as N1 Technologies 7/5/2018RulingKilimanjaro 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
PDFedatanetworks Inc.7/4/2018Undertakingedatanetworks Inc.
TIETZEN, Terrence (Terry) Patrick
PDFLutheran Church-Canada, the Alberta-British Columbia District6/27/2018Notice of HearingLutheran Church–Canada, the Alberta-British Columbia District
Lutheran Church–Canada, the Alberta-British Columbia District Investments Ltd.
SCHIEMANN, Donald Robert
ROBINSON, Kurtis Francis
KENTEL, James Theodore
RUF, Mark David
SCHMIDT, Harold Carl
PDFNorth America Frac Sand, Inc.6/27/2018Notice of HearingNorth America Frac Sand, Inc.
LAVALLEE, Lambert (Bert) Joseph
GIBBS, Brian Maurice
ALEXANDER, David Malcolm
Seton Securities International Ltd.
PDFFELGATE, Nicholas John6/22/2018Notice of ApplicationFELGATE, Nicholas John
PDFThe Cash Store Financial Services Inc.6/1/2018Notice of Withdrawal of Notice of HearingBLAND, Nancy Louise
PDFBLAND, Nancy Louise5/24/2018Settlement Agreement/UndertakingBland, Nancy Louise
PDFMAGNESON, Allan Robert5/2/2018Notice of HearingMAGENSON, Allan Robert
1111108 Alberta Ltd.
New Wave Innovations Ltd.
PDFSweetwater Lake Village Limited Partnership4/24/2018Revocation/ExpirySweetwater Lake Village Limited Partnership
Sweetwater Lake Village (Parcel 2) Limited Partnership
Parcel 4 Sweetwater Development Group Ltd.
Parcel 2 Sweetwater Development Group Ltd.
Craig Douglas McMorran
PDFImagine Research and Technology Inc.4/4/2018Interim Cease Trade OrderImagine Research and Technology Inc.,br.
WHYTE, Douglas Alexander
JONES, Brian Michael
PDFWHYTE, Douglas Alexander 3/23/2018Notice of ApplicationWHYTE, Douglas Alexander
JONES, Brian Michael
Imagine Research and Technology Inc.
PDFFELGATE, Nicholas John3/16/2018Interim Cease Trade OrderFELGATE, Nicholas John
PDFFELGATE, Nicholas John 3/7/2018Notice of ApplicationFELGATE, Nicholas John