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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

FROST, Robert Joseph
FRANCESE, Joseph Antonio (Anthony)
REED, Scott Anthony
Proforma Capital Bond (II) Corporation
Proforma Capital Inc.
decision on merits pending
STEWART, Robert Carl
Tamarisk Energy Corp.
decision pending
Base Finance Ltd.
WAY, Susan Elizabeth
decision on sanction pending
KITTS, Brian Arthur
Vesta Capcorp Inc.
decision on merits pending
FAUTH, Vernon Ray
decision on sanction pending
Kilimanjaro Capital Ltd. now known as N1 Technologies Inc.
PATEL, Ashmit S.
LEVY, Jonathan Harris
RASHID, Zulfikar Hussein
ZANG, John Charles
BUCZYNSKI, Gregory Scott
January 2019hearing
RUSTULKA, Kenton Roy
February 2019setting hearing dates
Prize Mining Corp.
MCPHIE, Michael
SOMJI, Feisal
BridgeMark Financial Corp.
JACKSON, Anthony Kevin
LIU, Justin Edgar
KIM, Seungkap
YOON, Kyung Kim
Detona Capital Corp.
Tryton Financial Corp.
Rockshore Advisors Ltd. (formerly Cam Paddock Enterprises)
February 2019application for interim order
SHAW, Logan Keith
1681502 Alberta Ltd.
February 2019hearing into merits
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.
February 2019hearing on sanction
Bluforest Inc.
CAN, Cem (Jim)
ANDERSON, Norman David
MILLER, Charles Michael
NIKOO, Farhang (Fred) Dagostar
March 2019hearing into merits
North America Frac Sand, Inc.
LAVALLEE, Lambert (Bert) Joseph  
GIBBS, Brian Maurice  
ALEXANDER, David Malcolm
April 2019hearing into merits
Lutheran 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
May 2019hearing into merits
MAGNESON, Allan Robert
1111108 Alberta Ltd.
New Wave Innovations Ltd.
July 2019hearing into merits
1511419 Ontario Inc., formerly known as The Cash Store Financial Services Inc.
September 2019hearing into merits

Other Proceedings

There are no items to show in this view.