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Name
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Company Or Person
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Jurisdiction
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Governing Body
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Date Of Order Or Settlement
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Date Of Prior Order
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Banned Until
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Sanctions
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Payment Agreed Ordered
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Violations
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Supporting Documents
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1300302 Alberta Inc.
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Company
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British Columbia
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British Columbia Securities Commission
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2017-02-20 00:00:00
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Trading ban with or without conditions; Investor relations ban with or without exceptions; Exemption inapplicable with or without exceptions
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$2,785,000.00
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Illegal or unregistered distributions
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Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2016/52_BCSC_panel_finds_B_C__sisters_committed_fraud_and_engaged_in_illegal_distributions/; Merits Decisions (English) - www.bcsc.bc.ca/Enforcement/Decisions/Siu_Mui_“Debbie”_Wong,_Siu_Kon_“Bonnie”_Soo,_Wheatland_Industrial_Park_Inc_,_1300302_Alberta_Inc__and_D___E_Arctic_Investments_Inc___Findings_/; Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/23_BCSC_panel_fines_and_permanently_bans_B_C__sisters_for_fraud_and_illegal_distributions/; Sanctions Decisions (English) - http://www.bcsc.bc.ca/Enforcement/Decisions/Siu_Mui_%E2%80%9CDebbie%E2%80%9D_Wong,_Siu_Kon_%E2%80%9CBonnie%E2%80%9D_Soo,_Wheatland_Industrial_Park_Inc_,_1300302_Alberta_Inc__and_D___E_Arctic_Investments_Inc___Decision_/
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1476634 Alberta Ltd.
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Company
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Alberta
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Alberta Securities Commission
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2016-10-25 00:00:00
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2026-10-25 00:00:00
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Trading ban with or without conditions
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Illegal or unregistered distributions; Making false or misleading statements
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Settlement Agreement (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/SOLEJA,%20Danish%20Akhtar%20SAU%202016%2010%2025%205321342v1.pdf
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1735560 Alberta Ltd.
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Company
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Alberta
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Alberta Securities Commission
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2017-06-14 00:00:00
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2027-06-14 00:00:00
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Trading ban with or without conditions; Investor relations ban with or without exceptions; Registration ban (with or without exceptions) and/or restrictions; Other
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Illegal or unregistered distributions
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Sanctions Decisions (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/CHMELYK%20Ferlyn%20Robert%20John%20DECISION%202017%2006%2014%205353127.1.pdf
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1735563 Alberta Ltd.
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Company
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Alberta
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Alberta Securities Commission
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2017-06-14 00:00:00
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2027-06-14 00:00:00
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Trading ban with or without conditions; Investor relations ban with or without exceptions; Registration ban (with or without exceptions) and/or restrictions; Other
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Illegal or unregistered distributions
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Sanctions Decisions (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/CHMELYK%20Ferlyn%20Robert%20John%20DECISION%202017%2006%2014%205353127.1.pdf
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2002 Concepts Inc.
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Company
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Ontario
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Ontario Securities Commission
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2017-03-29 00:00:00
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Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Exemption inapplicable with or without exceptions
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170329_williams.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170329_williams-2.pdf
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AAoption
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Company
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Ontario
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Ontario Securities Commission
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2017-05-26 00:00:00
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Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20160526_aaoption.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20160526_aaoption-2.pdf
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All Group Financial Services Inc.
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Company
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SRO
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Investment Industry Regulatory Organization of Canada
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2011-01-25 00:00:00
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$37,000.00
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Other; Unreported capital deficiency
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Related Documents (English) (French) - http://www.iiroc.ca/SitePages/Related-Documents.aspx?linkid=733 | http://www.ocrcvm.ca/SitePages/Related-Documents.aspx?linkid=733
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Allen, Lorne
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Person
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Ontario
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Ontario Securities Commission
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2017-05-04 00:00:00
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2023-05-04 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Administrative Penalty/Fine; Registration ban (with or without exceptions) and/or restrictions; Reprimand; Disgorgement /Restitution; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Administrative Penalty (joint & several)/Pénalités administratives (Solidaire) $25,000; Disgorgement (joint & several)/Remise de sommes (Solidaire) $21,825; Costs (joint & several)/Frais (Solidaire) $139,510.33
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Illegal or unregistered distributions; Unregistered, unauthorized and/or improper trading; Authorized, permitted or acquiesced in violation
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170504_furtak.pdf; Sanctions Decisions (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170504_furtak-2.pdf
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Aqui, Christopher Linley
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Person
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Ontario
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Ontario Securities Commission
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2017-03-28 00:00:00
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2017-07-07 00:00:00
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Registration ban (with or without exceptions) and/or restrictions
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Fraud and/or Forgery and/or Falsification; Unregistered, unauthorized and/or improper trading; Disclosure violations
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Settlement Agreement (English) - http://www.osc.gov.on.ca/en/SecuritiesLaw_ord_20170404_auic.htm; Director's Decision (OSC) (English) - http://www.osc.gov.on.ca/en/SecuritiesLaw_ord_20170404_auic.htm
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Axton 2010 Finance Corp.
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Company
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Ontario
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Ontario Securities Commission
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2017-05-04 00:00:00
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2027-05-04 00:00:00
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Trading ban with or without conditions; Administrative Penalty/Fine; Registration ban (with or without exceptions) and/or restrictions; Reprimand; Disgorgement /Restitution; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Administrative Penalty (joint & several)/Pénalités administratives (Solidaire) $75,000; Disgorgement (joint & several)/Remise de sommes (Solidaire) $216,538.66; Costs (joint & several)/Frais (Solidaire) $186,013.77
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Illegal or unregistered distributions; Unregistered, unauthorized and/or improper trading
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170504_furtak.pdf; Sanctions Decisions (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170504_furtak-2.pdf
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Beilstein, Irene G.
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Person
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Ontario
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Ontario Securities Commission
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2017-03-29 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170329_williams.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170329_williams-2.pdf
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Boulton, David Duncan
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Person
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SRO
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Mutual Fund Dealers Association of Canada
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2017-06-29 00:00:00
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Administrative Penalty/Fine
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$6,000.00
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Fraud and/or Forgery and/or Falsification; Making false or misleading statements
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Order (English) - http://mfda.ca/case-order/order201707/; Related Documents (English) - http://mfda.ca/case/201707/
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Branconnier, Rene Joseph
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Person
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Ontario
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Ontario Securities Commission
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2016-04-13 00:00:00
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2036-02-02 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Exemption inapplicable with or without exceptions
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Reciprocal Order (English) - http://docs.mbsecurities.ca/msc/oe/en/item/143477/index.do
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Branconnier, Rene Joseph
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Person
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Ontario
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Ontario Securities Commission
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2017-08-09 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170809_global8.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170809_global8-2.pdf
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Bugden, David Claude
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Person
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SRO
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Investment Industry Regulatory Organization of Canada
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2017-04-18 00:00:00
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Completion of training; Administrative Penalty/Fine; Other
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$52,000.00
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Unsuitable investments and/or recommendations; Failure to discharge know your client and suitability obligations
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Related Documents (English) (French) - http://www.iiroc.ca/SitePages/Related-Documents.aspx?linkid=1203 | http://www.ocrcvm.ca/Documents/2017/011e47da-3dac-4b15-bba4-0b7e983c03f8_fr.pdf
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Burback, Chad Delbert
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Person
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Manitoba
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Manitoba Securities Commission
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2016-02-02 00:00:00
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2015-06-05 00:00:00
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2028-02-02 00:00:00
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Trading ban with or without conditions; Administrative Penalty/Fine; Other; Exemption inapplicable with or without exceptions
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$110,000.00
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Sanctions Decisions (English) - http://prod-sp2010:888/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/Global%208%20Environmental%20Technologies,%20Inc%20DECISION%202016%2002%2002%205222545.1.pdf
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Burback, Chad Delbert
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Person
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Ontario
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Ontario Securities Commission
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2016-04-13 00:00:00
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2028-02-02 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Exemption inapplicable with or without exceptions
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Reciprocal Order (English) - http://docs.mbsecurities.ca/msc/oe/en/item/143477/index.do
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Careless, David
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Person
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SRO
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Mutual Fund Dealers Association of Canada
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2017-03-30 00:00:00
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2017-09-30 00:00:00
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Completion of training; Registration ban (with or without exceptions) and/or restrictions
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Fraud and/or Forgery and/or Falsification; Internal control violations
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Order (English) - http://mfda.ca/case-order/order201623/; Related Documents (English) - http://mfda.ca/case/201623/
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Carney, James Gerard
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Person
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SRO
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Mutual Fund Dealers Association of Canada
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2017-04-18 00:00:00
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Administrative Penalty/Fine
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$20,000.00
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Unregistered, unauthorized and/or improper trading
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Order (English) - http://mfda.ca/case-order/order2-201646/; Related Documents (English) - http://mfda.ca/case/201646/
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Cook, Lance Sandford
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Person
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British Columbia
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British Columbia Securities Commission
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2017-08-08 00:00:00
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2022-08-08 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Investor relations ban with or without exceptions; Registration ban (with or without exceptions) and/or restrictions; Other
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$9,857,850 in disgorgement and an administrative penalty of $6 million
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Illegal or unregistered distributions
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Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/40_BCSC_panel_finds_Victoria_man_and_mortgage_company_illegally_distributed_securities/; Merits Decisions (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/40_BCSC_panel_finds_Victoria_man_and_mortgage_company_illegally_distributed_securities/; Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/65_BCSC_sanctions_Victoria_man_and_mortgage_company_for_illegal_distributions/; Sanctions Decisions (English) - http://www.bcsc.bc.ca/Enforcement/Decisions/Lance_Sandford_Cook_and_CBM_Canada’s_Best_Mortgage_Corp___Decision_/
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Cooper, Paul
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Person
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Alberta
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Alberta Securities Commission
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2017-03-21 00:00:00
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2017-04-05 00:00:00
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Trading ban with or without conditions
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Order (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/Saint%20Jean%20Carbon%20Inc%20ORDER%202017%2003%2021%205340335.1.pdf
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Cormier, Brian Thomas
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Person
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SRO
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Mutual Fund Dealers Association of Canada
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2017-01-26 00:00:00
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Administrative Penalty/Fine
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$4,000.00
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Fraud and/or Forgery and/or Falsification
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Order (English) - http://mfda.ca/case-order/order201685/; Related Documents (English) - http://mfda.ca/case/201685/
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Da Rin, David Edward
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Person
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Alberta
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Alberta Securities Commission
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2017-04-04 00:00:00
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2017-04-04 00:00:00
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Trading ban with or without conditions
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Order (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/Saint%20Jean%20Carbon%20Inc%20ORDER%202017%2004%2004%205341569.1.pdf
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Dancho, Vicky (aka Ju Huang)
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Person
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British Columbia
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British Columbia Securities Commission
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2017-02-17 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Other
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$70,000.00
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Acting contrary to the public interest; Illegal or unregistered distributions
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Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/18_BCSC_settles_with_B_C__woman_for_breaching_the_Act/; Settlement Agreement (English) - http://www.bcsc.bc.ca/Enforcement/Settlements/Vicky_Dancho,_also_known_as_Ju_Huang__Order_and_Settlement_Agreement_/
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Dansol International Inc.
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Company
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Ontario
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Ontario Securities Commission
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2017-05-23 00:00:00
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2026-10-25 00:00:00
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Trading ban with or without conditions; Acquisitions ban with or without exceptions
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170523_soleja.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170523_soleja-2.pdf
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Deacon, Gregory
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Person
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Ontario
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Ontario Securities Commission
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2017-07-25 00:00:00
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2027-07-25 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Administrative Penalty/Fine; Registration ban (with or without exceptions) and/or restrictions; Reprimand; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Administrative Penalty or Fine/Pénalité ou amende administrative: $25,000; Costs/Frais: $10,000
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Illegal or unregistered distributions; Unregistered, unauthorized and/or improper trading; Other
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170725_deacon.pdf; Settlement Agreement (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-SET/set_20170707_deacon.pdf
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Dhanani, Ayaz (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa)
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Person
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Ontario
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Ontario Securities Commission
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2017-05-12 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
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Reciprocal Order (English) - http://www.osc.gov.on.ca/en/Proceedings_rad_20170512_dhanani.htm; Related Documents (English) - http://www.osc.gov.on.ca/en/Proceedings_rad_20170512_dhanani-2.htm
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Encharge Inc.
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Company
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Nova Scotia
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Nova Scotia Securities Commission
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2017-05-26 00:00:00
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2022-05-26 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Investor relations ban with or without exceptions; Administrative Penalty/Fine; Registration ban (with or without exceptions) and/or restrictions; Reprimand; Exemption inapplicable with or without exceptions
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$43,500.00
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Acting contrary to the public interest; Illegal or unregistered distributions; Unregistered, unauthorized and/or improper trading
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Media Release (English) - https://nssc.novascotia.ca/sites/default/files/docs/NSSC-Settlement-Agreement-Wayne-Berry-May%2026%2C%202017.pdf; Order (English) - https://nssc.novascotia.ca/sites/default/files/docs/Order%20May%2026%2C%202017.pdf; Settlement Agreement (English) - https://nssc.novascotia.ca/sites/default/files/docs/Settlement%20Agreement%20May%2011%2C%202017.pdf; Notice (English) - https://nssc.novascotia.ca/sites/default/files/docs/Amended%20Notice%20of%20Hearing%20May%2015%2C%202017.pdf
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Falcon Holdings, LLC
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Company
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British Columbia
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British Columbia Securities Commission
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2017-02-14 00:00:00
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Trading ban with or without conditions; Investor relations ban with or without exceptions; Registration ban (with or without exceptions) and/or restrictions; Exemption inapplicable with or without exceptions
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US$2.4 million in disgorgement
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Breach of order
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Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2016/72_BCSC_panel_finds_that_two_individuals_committed_fraud/; Merits Decisions (English) - http://www.bcsc.bc.ca/Enforcement/Decisions/EagleMark_Ventures,_LLC,_Falcon_Holdings,_LLC,_Richard_Lian_(also_known_as_Richard_Terry_Ruuska)_and_Enna_M__Keller__Findings_/; Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2017/17_BCSC_panel_issues_large_fines_and_permanent_bans_against_two_individuals_for_fraud/; Sanctions Decisions (English) - http://www.bcsc.bc.ca/Enforcement/Decisions/EagleMark_Ventures,_LLC,_Falcon_Holdings,_LLC,_Richard_Lian_(also_known_as_Richard_Terry_Ruuska)_and_Enna_M__Keller__Decision_/
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Figueiredo, Rui ("Roy")
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Person
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British Columbia
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British Columbia Securities Commission
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2016-07-07 00:00:00
|
Director, Officer and/or Supervisor Ban with or without exceptions; Trading ban with or without conditions; Investor relations ban with or without exceptions; Registration ban (with or without exceptions) and/or restrictions; Other; Exemption inapplicable with or without exceptions
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$57,875 in disgorgement plus a penalty of $130,000
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Fraud and/or Forgery and/or Falsification
|
Media Release (English) - http://www.bcsc.bc.ca/News/News_Releases/2016/58_BCSC_panel_issues_permanent_bans_against_B_C__man_for_fraud/; Sanctions Decisions (English) - http://www.bcsc.bc.ca/Enforcement/Decisions/Rui_Figueiredo_(aka_Roy_Figueiredo),_PARE_Realty_Ltd_,_and_0929870_B_C__Ltd___Reasons_for_Decision_/
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Furtak, Edward
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Person
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Ontario
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Ontario Securities Commission
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2003-05-15 00:00:00
|
2003-11-15 00:00:00
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Trading ban with or without conditions; Reprimand
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Costs/Frais $2,500
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Unregistered, unauthorized and/or improper trading
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Order (English) - http://www.osc.gov.on.ca/purl?id=12902&lang=en
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Fyn, Robert E.
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Person
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Alberta
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Alberta Securities Commission
|
2017-01-09 00:00:00
|
2004-06-02 00:00:00
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Revocation (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/HMS%20Financial%20Inc%20ORDER%202017%2001%2009%205330319.1.pdf
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Fyn, Robert E.
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Person
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Saskatchewan
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Financial and Consumer Affairs Authority of Saskatchewan
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2001-12-17 00:00:00
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Order (English) - http://www.fcaa.gov.sk.ca/fyn-robert-e
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Galaxy International Solutions Ltd.
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Company
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Ontario
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Ontario Securities Commission
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2017-05-26 00:00:00
|
Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
|
Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20160526_aaoption.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20160526_aaoption-2.pdf
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Global 8 Environmental Technologies, Inc.
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Company
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Ontario
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Ontario Securities Commission
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2009-08-14 00:00:00
|
2009-07-30 00:00:00
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Trading ban with or without conditions; Exemption inapplicable with or without exceptions
|
Order (English) - http://albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/GLOBAL%208%20ENVIRONMENTAL%20TECHNOLOGIES%20INC%20ORDER%202009%2008%2013%203282414%20v1.pdf
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Godwin, Marianne
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Person
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Ontario
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Ontario Securities Commission
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2017-04-24 00:00:00
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Director, Officer and/or Supervisor Ban with or without exceptions
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Costs/Frais $1,000
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Authorized, permitted or acquiesced in violation
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Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170424_mm-cafe.pdf; Settlement Agreement (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-SET/set_20170413_mm-cafe.pdf
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Graphite Finance Inc.
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Company
|
Alberta
|
Alberta Securities Commission
|
2016-10-25 00:00:00
|
2026-10-25 00:00:00
|
Trading ban with or without conditions
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Illegal or unregistered distributions; Making false or misleading statements
|
Settlement Agreement (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/SOLEJA,%20Danish%20Akhtar%20SAU%202016%2010%2025%205321342v1.pdf
|
||
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Graphite Finance Inc.
|
Company
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Ontario
|
Ontario Securities Commission
|
2017-05-23 00:00:00
|
2026-10-25 00:00:00
|
Trading ban with or without conditions; Acquisitions ban with or without exceptions
|
Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170523_soleja.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170523_soleja-2.pdf
|
|||
|
Halo Property Services Inc.
|
Company
|
Alberta
|
Alberta Securities Commission
|
2010-05-28 00:00:00
|
2010-06-12 00:00:00
|
Trading ban with or without conditions; Exemption inapplicable with or without exceptions
|
Order (English) - http://albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/HALO%20PROPERTY%20SERVICES%20INC%20ORDER%2020100528%203540140v1.pdf
|
|||
|
Hampton Securities
|
Company
|
SRO
|
Investment Industry Regulatory Organization of Canada
|
2017-07-06 00:00:00
|
Administrative Penalty/Fine
|
$20,000.00
|
Gatekeeping
|
Related Documents (English) (French) - http://www.iiroc.ca/SitePages/Related-Documents.aspx?linkid=1226 | http://www.ocrcvm.ca/Documents/2017/4c07b43b-b2c5-42cc-b0be-b20b3a69c97c_fr.pdf
|
||
|
HMS Financial Inc.
|
Company
|
Alberta
|
Alberta Securities Commission
|
2004-06-02 00:00:00
|
2004-05-18 00:00:00
|
Trading ban with or without conditions
|
Order (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/HMS_Financial_Inc._-_CTO_Extention_Order_-_2004-06-02-__1538135v2.pdf
|
|||
|
HollisWealth Advisory Services Inc. / Services Financiers Patrimoine Hollis Inc.
|
Company
|
SRO
|
Mutual Fund Dealers Association of Canada
|
2017-03-07 00:00:00
|
Administrative Penalty/Fine
|
$130,000.00
|
Inadequate compliance system
|
Order (English) - http://mfda.ca/case-order/order-2016116/; Related Documents (English) - http://mfda.ca/case/2016116/
|
||
|
HollisWealth Advisory Services Inc. / Services Financiers Patrimoine Hollis Inc.
|
Company
|
SRO
|
Mutual Fund Dealers Association of Canada
|
2015-11-24 00:00:00
|
Administrative Penalty/Fine; Specific undertakings
|
$200,000.00
|
Inadequate compliance system
|
Settlement Agreement (English) - http://www.mfda.ca/enforcement/hearings15/SA201532.pdf; Other Documents (English) - http://www.mfda.ca/enforcement/cases15/201532.html
|
||
|
Home Capital Group Inc.
|
Company
|
Ontario
|
Ontario Securities Commission
|
2017-08-09 00:00:00
|
Specific undertakings; Other
|
Costs/Frais: $500,000
|
Disclosure violations; Making false or misleading statements
|
Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170809_%20home-capital.pdf; Related Documents (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-SET/set_20170614_home-capital.pdf; Settlement Agreement (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170809_home-capital-2.pdf
|
||
|
Income Strategix A-Class L.P.
|
Company
|
Ontario
|
Ontario Securities Commission
|
2017-06-26 00:00:00
|
Trading ban with or without conditions; Administrative Penalty/Fine; Specific undertakings; Disgorgement /Restitution; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
|
Administrative penalty (Joint & Several)/Pénalités administratives (Solidaire): $70,000; Costs (Joint & Several)/Frais (Solidaire): $5,000;Disgorgement (Joint & Several)/Remis de sommes (Solidaire): $1,048,803.93
|
Acting contrary to the public interest
|
Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170626_income-strategix.pdf; Settlement Agreement (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-SET/set_20170613_income-strategix.pdf
|
||
|
Income Strategix L.P.
|
Company
|
Ontario
|
Ontario Securities Commission
|
2017-06-26 00:00:00
|
Trading ban with or without conditions; Administrative Penalty/Fine; Specific undertakings; Disgorgement /Restitution; Acquisitions ban with or without exceptions; Exemption inapplicable with or without exceptions
|
Administrative penalty (Joint & Several)/Pénalités administratives (Solidaire): $70,000; Costs (Joint & Several)/Frais (Solidaire): $5,000; Disgorgement (Joint & Several)/Remis de sommes (Solidaire): $1,048,803.93
|
Acting contrary to the public interest
|
Order (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20170626_income-strategix.pdf; Settlement Agreement (English) - http://www.osc.gov.on.ca/documents/en/Proceedings-SET/set_20170613_income-strategix.pdf
|
||
|
Infinivest Mortgage Investment Corporation
|
Company
|
Manitoba
|
Manitoba Securities Commission
|
2016-05-04 00:00:00
|
Trading ban with or without conditions; Registration ban (with or without exceptions) and/or restrictions; Exemption inapplicable with or without exceptions
|
Reciprocal Order (English) - http://docs.mbsecurities.ca/msc/oe/en/item/143900/index.do
|
||||
|
Jacob, Sasha
|
Person
|
SRO
|
Investment Industry Regulatory Organization of Canada
|
2017-03-31 00:00:00
|
Administrative Penalty/Fine; Other
|
$100,000.00
|
Internal control violations; Failure to comply with terms and conditions
|
Related Documents (English) (French) - http://www.iiroc.ca/SitePages/Related-Documents.aspx?linkid=1193 | http://www.ocrcvm.ca/Documents/2017/d918f9ff-25cf-4d80-8f61-ac947a32e785_fr.pdf#search=sasha%20jacob
|
||
|
Jitney Trade Inc.
|
Company
|
SRO
|
Investment Industry Regulatory Organization of Canada
|
2017-03-29 00:00:00
|
Administrative Penalty/Fine; Specific undertakings
|
$200,000.00
|
Internal control violations
|
Related Documents (English) (French) - 11470JitneyTrade Inc.2017IIROC25QCSettlement29-Mar-1729-Mar-17Implement Remedial Measuresn/an/aAdministrative Penalty/FineSpecific Undertakings$200,000$25,000$225,000Internal control violationshttp://www.iiroc.ca/SitePages/Related-Documents.aspx?linkid=1197 | http://www.ocrcvm.ca/Documents/2017/b8d2b851-e474-4ae3-8f33-f23c0f8ceee0_fr.pdf
|
||
|
Jonathan Financial Inc.
|
Company
|
Alberta
|
Alberta Securities Commission
|
2017-01-23 00:00:00
|
2020-01-23 00:00:00
|
Trading ban with or without conditions; Administrative Penalty/Fine
|
$45,000.00
|
Illegal or unregistered distributions; Making false or misleading statements
|
Settlement Agreement (English) - http://www.albertasecurities.com/Notices%20Decisions%20Orders%20%20Rulings/Enforcement/Jonathan%20Financial%20Inc.%20SAU%202017%2001%2023%205325879%20v4.pdf
|
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