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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).

Status of Current Proceedings

To view additional information about a current or scheduled proceeding, click on a link below.


Enforcement Proceedings

RespondentsDate(s)Purpose/Status
FAUTH, Vernon Ray
decision on merits pending
FROST, Robert Joseph
FRANCESE, Joseph Antonio (Anthony)
REED, Scott Anthony
Proforma Capital Bond (II) Corporation
Proforma Capital Inc.
decision on merits pending
KITTS, Brian Arthur
Vesta Capcorp Inc.
July 2018hearing into merits
North America Frac Sand, Inc.
Lambert (Bert) Joseph Lavallee
Brian Maurice Gibbs
David Malcolm Alexander
Seton Securities International Ltd.
August 2018setting hearing dates
Lutheran Church–Canada, the Alberta-British Columbia District
Lutheran Church–Canada, the Alberta-British Columbia District Investments Ltd.
Donald Robert Schiemann
Kurtis Francis Robinson
James Theodore Kentel
Mark David Ruf
Harold Carl Schmidt
August 2018setting hearing dates
BREITKREUTZ, Arnold
Base Finance Ltd.
WAY, Susan Elizabeth
August 2018submissions pending
STEWART, Robert Carl
Tamarisk Energy Corp.
August 2018hearing
AITKENS, Ronald James
BEYER, Roy Juergen
Foundation Group Capital Trust
0865701 B.C. Ltd.
Harvest Capital Management Inc.
Stoney View Crossing Inc.
Harbour View Landing Inc.
September 2018hearing on sanction
Kilimanjaro 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
October 2018hearing into merits
SHAW, Logan Keith
1681502 Alberta Ltd.
November 2018hearing into merits
MAGNESON, Allan Robert
1111108 Alberta Ltd.
New Wave Innovations Ltd.
January 2019hearing into merits
Bluforest Inc.
Cem (Jim) Can
Norman David Anderson
Charles Michael Miller
Farhang (Fred) Dagostar Nikoo
March 2019hearing into merits
1511419 Ontario Inc., formerly known as The Cash Store Financial Services Inc.
REYKDAL, Gordon
September 2019hearing into merits

Other Proceedings

There are no items to show in this view.