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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
PDFNIKOO, Farhang (Fred) Dagostar2/15/2019Settlement Agreement/UndertakingNIKOO, Farhang (Fred) Dagostar
PDFPrize Mining Corporation (also knowns as Prize Mining Corp.)2/14/2019Notice of ApplicationPrize Mining Corporation (also knowns as Prize Mining Corp.)
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corporation (also knowns as Prize Mining Corp.)2/12/2019Interim OrderPrize Mining Corporation (also knowns as Prize Mining Corp.)
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corporation (also knowns as Prize Mining Corp.)2/12/2019OrderPrize Mining Corporation (also knowns as Prize Mining Corp.)
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corp. 2/6/2019Notice of ApplicationPrize Mining Corp.
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corp.<1/14/2019OrderPrize Mining Corp.
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corp.1/3/2019OrderPrize Mining Corp.
MCPHIE, Michael
SOMJI, Feisal
SCHMIDT, David
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
JACKSON, Lisa
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFPrize Mining Corp.12/21/2018Notice of ApplicationPrize Mining Corp.
Michael McPhie
Feisal Somji
David Schmidt
BridgeMark Financial Corp.
Anthony Kevin Jackson
Justin Edgar Liu
Seungkap Kim
Kyung Kim Yoon
Lisa Jackson
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
PDFRUSTULKA, Kenton Roy12/20/2018Notice of HearingRUSTULKA, Kenton Roy
PDFWest High Yield (W.H.Y.) Resources Ltd.12/19/2018Settlement AgreementWest High Yield (W.H.Y.) Resources Ltd.
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