Sanction Payment Status List
The list below includes the status of all monetary sanctions ordered by the BC Securities Commission since its incorporation in 1987. This list is current to February 13, 2024.
| Company or individual assessed | Status |
|---|---|
| 1300302 Alberta Inc. | Unpaid |
| 0772835 B.C. Ltd. | Unpaid |
| 0929870 B.C. Ltd. |
Unpaid |
| 2002 Concepts Inc. |
Unpaid |
| 3i Capital ClearPath Limited Partnership |
Unpaid |
| AA Management & Services Inc. |
Unpaid |
| Achs, Karol | Unpaid |
| AMRR.Com Inc. |
Paid |
| Achilles, Alasdair William |
Paid |
| Ainslie, Douglas James |
Paid |
| Albers, Rodney K. |
Paid |
| Alexander, David |
Paid |
| Alexander, James Terrence | Paid |
| Alexander, Keith Henry |
Paid |
| Alhambra Resources Ltd. |
Paid |
| Allaby, Samuel Richard |
Unpaid |
| Altura Growth Fund (EVCC) Inc. |
Paid |
| Ameritrade Inc. |
Paid |
| Anderson, Alexander |
Paid |
| Anderson, Brian David |
Unpaid |
| Anderson, Carl Glenn |
Unpaid |
| Anderson, Leon F |
Paid |
| Aragon (Pony Trail) Devlopment (Ont) Corp. |
Paid |
| Arakis Energy Corporation |
Paid |
| Archibald, Donald William |
Paid |
| Archibald, John Charles | Paying |
| Ardalan, Afshin |
Paid |
| Arlitt, John Louis |
Paid |
| Armadillo Energy Inc. |
Unpaid |
| Armitage, Stephen |
Unpaid |
| Armstrong, Norman Graham |
Unpaid |
| Arruda, Emanuel | Paid |
| Ascenta Finance Corp |
Paid |
| Ascot Financial Services Ltd. | Paid |
| Ashworth, Edward Clive | Paid |
| Asia Finance Corporation Ltd. | Paid |
| Atlantic Trust Management Group | Unpaid |
| Ayers, Elmer Patrick | Unpaid |
| Ayre, Calvin Edward | Paid |
| BMO Investorline Inc. | Paid |
| BMO Nesbitt Burns Inc. | Paid |
| BO Gas Ltd. | Paid |
| Bossteam E-Commerce Inc. | Unpaid |
| Bachra, Gagan Deep | Paid |
| Bahd, Amrik Singh | Paid |
| Bahd, Karnjit Singh | Paid |
| Bai, Roy Ping (aka Bai, Ping) | Unpaid |
| Baily, David Alexander | Paid |
| Bains, Malkeet Singh | Paid |
| Bains, Narinder Paul Singh |
Paid |
| Bajus, Paul Douglas | Paid |
| Bakshi, Prabhjot Singh | Paying |
| Balisky, Larry A | Paid |
| Ball, Ian T. | Unpaid |
| Ball, Matthew | Paid |
| Bank Gutenberg AG, et al. | Paid |
| Barker Minerals Ltd. | Paid |
| Barker, Ronald Stephen | Unpaid |
| Barnes, James Arthur | Unpaid |
| Barnscher, Walter Leo | Paid |
| Barry, Timothy James | Paid |
| Bartizan Capital Corporation | Paid |
| Basi, Ajit Singh | Unpaid |
| Bass, Christopher James G. | Unpaid |
| Bateman, Larry Duane | Paid |
| Batha Capital Corporation | Unpaid |
| Beattie, William Dorn | Paid |
| Beilstein, Irene G. | Paying |
| Beauchamps Exploration Inc. | Paid |
| Bearing Lithium Corp. (formerly Bearing Resources Ltd.) | Paid |
| Beaufield Consolidated Resources Inc. | Paid |
| Belfontaine, John-David Alexander | Paid |
| Bennett, Russell James | Paid |
| Bennett, William Richard | Paid |
| Bergman, Donald | Unpaid |
| Berkshire Capital Partners, Inc. | Unpaid |
| Berry, John | Unpaid |
| Bertram, Thomas Geoffrey | Paid |
| Bezzasso, Todd Norman John |
Unpaid |
| Bezzaz Holdings Group Ltd. (dba BGI Canada and BGI Investment) |
Unpaid |
| Bhalla, Prem Chand | Paid |
| Bieber, Ronald Bruce | Unpaid |
| Bigfoot Recreation & Ski Area Ltd. | Unpaid |
| Bilinski, Danny Francis | Paid |
| Biller, Frank | Unpaid |
| Blackline Oil Corporation | Paid |
| Blair, Nelson Scott | Paid |
| Blue Energy Canada Inc. | Paid |
| Bodnarchuk, Mervin Michael | Unpaid |
| Boguski, Wally Elmer | Paid |
| Boisson, Phillipe | Unpaid |
| Bonavista Asset Management Ltd. | Paid |
| Boni, Michael | Paid |
| Borkowski, Paul Jan | Unpaid |
| Botha, Basil Roy | Paid |
| Boustani, George Badri | Paid |
| Bracetek Industries Group Ltd. | Unpaid |
| Bradstone Equity Partners Inc. | Paid |
| Braun, Alan | Unpaid |
| Braun, Jerry | Paying |
| Braun Developments (B.C.) Ltd. | Unpaid |
| Breakthrough Financial Inc. | Unpaid |
| Bren-Mar Resources Ltd. | Paid |
| Brenner, Rudolf Walter | Paid |
| Brewer, Lloyd C | Paid |
| Bridges, Alexander |
Unpaid |
| Bristow, Dennis Beryl | Paid |
| Brock, Timothy Britton | Paid |
| Bromley, Ralph | Paid |
| Brooks, Kenneth | Paid |
| Browne, Martin | Paid |
| Buchanan, William Gordon | Unpaid |
| Buckner, Donald Neil | Unpaid |
| Burke, Christopher Andrew | Unpaid |
| Busby, Donald Wayne | Paid |
| Busto, Dominic | Paid |
| Byer, Daniel Eric | Unpaid |
| Byron, John | Unpaid |
| CIBC Investor Services Inc. | Paid |
| CIBC World Markets Inc. | Paid |
| CDN Global Wealth Creation Club RW-TW | Unpaid |
| CPFS Professional Financial Services Inc. | Unpaid |
| Calf, Maurice John | Unpaid |
| Callaghan, James Francis | Paid |
| Callies, Gordon Howard | Unpaid |
| Calvert, Matthew Herbert |
Paid |
| Cam-Net Communications Network Inc. | Paid |
| Cameron, Gregory Paul James | Paid |
| Cameron, James Harvey | Paid |
| Cameron, Matthew Evans | Paid |
| Cana-Teca Phase I Limited Partnership | Paid |
| Canaccord Capital Corporation | Paid |
| Canadian American Financial Corp.(Canada) Ltd. | Paid |
| Canadian Global Investment Corp. | Paid |
| Canadian Manu Immigration & Financial Services Inc. | Unpaid |
| Canadian Metals Exploration Ltd. | Paid |
| Canpol Holding | Unpaid |
| Cantec Homes Financial Corp. | Paid |
| Capital Productions Inc. | Unpaid |
| Carriere, Germain | Paid |
| Carswell, John Leonard | Paying |
| Castiglioni, Luc | Unpaid |
| CastleMoore Inc. | Paid |
| Cerka, John | Paid |
| Cerisse, Christine Maria | Paying |
| Chan, Andy | Unpaid |
| Chan, Joseph Yan-Lap | Unpaid |
| Chan, Lai Lai | Paid |
| Chan, Monita Hung Mui |
Paid |
| Chapman, Robert John | Unpaid |
| Chappell, Gordon Charles | Unpaid |
| Charuk, Alan | Paid |
| Cheung, Kit Wai | Unpaid |
| Chevalier, Alain Germain | Paid |
| Chew, Wah Bo | Paid |
| Cho, Won Sang Shen (aka Cho, Craig) | Unpaid |
| Choquer, Don Garth | Paid |
| Christian, Kevin W | Paid |
| Chua, Ken | Unpaid |
| Cicci, Gino | Paid |
| Cinnabar Explorations Inc. | Unpaid |
| Cire, Lorne Neil | Unpaid |
| Clarke, Steven | Paid |
| Claxton, Arthur Edgar | Paid |
| Clunn, E. M. | Unpaid |
| Cluster Asset Management Inc. | Paid |
| Co, Rene | Unpaid |
| Cockburn, John Malcolm | Paid |
| Cole, Yvonne | Paid |
| Colledge, James R.K. | Paid |
| Collins, Robert Douglas | Unpaid |
| Commonwealth Associates, Ltd. | Unpaid |
| Conlon Copper Corp. | Paid |
| Conn, Ronald James | Unpaid |
| Connor Financial Corporation | Paid |
| Corrigan, Douglas Francis | Paid |
| Cook, Lance Sandford | Unpaid |
| Cooper, Gary Wayne | Unpaid |
| Craig, Ronald J | Paid |
| Cramer, Grant Claude | Unpaid |
| Cramer, Mark | Unpaid |
| Cramer, Michael | Unpaid |
| Cramer, Michael John | Paid |
| Craven, David | Unpaid |
| Credential Asset Management Inc. | Paid |
| Crimeni, Marc Paul | Paid |
| Crocker, Barry | Paid |
| Croft, Thomas Landon | Unpaid |
| Currency Specialist Ltd. | Unpaid |
| CWM Investment Counsel Inc. | Paid |
| Czinege, John | Unpaid |
| D&E Arctic Investments Inc. | Unpaid |
| DPM Securities Inc. | Paid |
| Dabney, Raymond Christopher | Paid |
| Daher, Arthur | Paid |
| Daley, Dwayne A | Paid |
| Dancho, Vicky (aka Huang, Ju) | Paid |
| Danzig, Geoffrey | Paid |
| Datek Online Brokerage Service | Paid |
| Davidson, Darren Scott | Paying |
| Davis, Karla Ann | Paid |
| Davis, Larry Keith | Paying |
| Dean, Nizam | Paid |
| de Beer, Casper | Unpaid |
| Deercrest Construction Fund Inc. | Unpaid |
| Defehr, Barry | Unpaid |
| de Jaray, Steven Allan Wylie | Paid |
| de La Boursodière, Teresa Kathleen | Paid |
| Delisle, Del Michel Albert | Unpaid |
| Dennis, Carey Brian | Unpaid |
| Deyrmenjian, Garo Aram | Unpaid |
| Dhala, Hussain | Unpaid |
| Dhaliwal, Ranbir Singh | Paid |
| Dhanani, Ayaz | Unpaid |
| Dhanani, Zahir "Zip" Sadrudin | Unpaid |
| Dicimbriani, Alexander | Unpaid |
| Dickman, Allan Arthur | Paid |
| Dilanni, Robert A | Unpaid |
| Dion, Robert Ross Errol | Unpaid |
| Dix, Gordon Jr. | Unpaid |
| Doherty and Associates Ltd. | Paid |
| Doman, Harbanse Singh | Paid |
| DominionGrand II Mortgage Investment Corporation | Unpaid |
| DominionGrand Investment Fund Inc. | Unpaid |
| Donas, Robert Anthony | Paid |
| Dorchester Investment Management | Paid |
| Dottenhoff Financial Ltd. | Unpaid |
| Double Eagle Investments Inc. | Unpaid |
| Charles, Douglas | Unpaid |
| Dowlati, Noshad | Unpaid |
| Downie, Alexander | Paying |
| Duke, Robert H. | Unpaid |
| Dunfield, Peter William | Paid |
| Dunn, Bruce P | Paid |
| Dunn, Patrick Aaron | Unpaid |
| Dunn, Robert Logan |
Paid |
| Dupasquier, Dalton Bruce | Paid |
| Dupree, James | Unpaid |
| Durante, Edward Andrew | Unpaid |
|
Durkin, Timothy Craig |
Unpaid |
| Durward, James Morris | Paid |
| Dyer, Donald Verne | Paid |
| D.W. Good Investment Co. Ltd. | Paid |
| E*Trade Canada Securities Corporation | Paid |
| Eberwein, Gordon | Paid |
| ERSS Equity Retirement Savings System Corp. | Paid |
| Eagle Court Pinnacle Lodges Ltd | Paid |
| EagleMark Ventures, LLC | Unpaid |
| Echo Partners Ltd. | Unpaid |
| Edgson, Brent | Unpaid |
| Ekren, Chad Raymond | Paid |
| Ellis, Brian Jonathan | Paid |
| Ellwyn, Vanessa Lynne | Unpaid |
| Eng, Jeffrey Dansill | Paid |
| Erickson, Kenneth Arthur | Unpaid |
| Eron Financial Services Ltd. | Unpaid |
| Eron Investment Corporation | Unpaid |
| Eron Mortgage Corporation | Unpaid |
| Eshun, Ingram Jeffrey | Unpaid |
| Espeseth, Gordon | Paid |
| Eugster, Rolf | Paid |
| EuroHelvetia TrustCo. S.A.(now known as EHT Corporate Services S.A.) | Unpaid |
| Everett, Theodore Robert | Unpaid |
| Falcon Holdings, LLC | Unpaid |
| Fedun, Gregory Robert | Paid |
| Fenner, Richard | Unpaid |
| Ferguson, William McDonald | Paid |
| Fernback, Timothy | Paid |
| Fiessel, Mervin George | Unpaid |
| FIC Foreclosure Fund Ltd. | Paying |
| FIC Real Estate Projects Ltd. | Unpaid |
| Figueiredo, Rui | Unpaid |
| Findlay, Robert Menzies | Paid |
| Firethorn Partners, LLC |
Paid |
| First Canada Capital Partners Inc. | Paid |
| First Ginseng Capital Corp. | Paid |
| First Marathon Securities Ltd | Paid |
| Fisher, Daniel William | Paid |
| Flexx Realm Inc. | Paid |
| Flickinger, Robert Lee II (aka Reynolds, Robert) | Unpaid |
| Flueck, Peter John | Unpaid |
| Flynn, Michael James | Paid |
| Foerster, Bruce Russell | Paid |
| Foresight Capital Corp. | Paid |
| Forex Capital Markets, LLC | Paid |
| Fortin, James Rodney | Paid |
| Fortune Financial Corporation | Paid |
| Foster, David J. | Unpaid |
| Foster, Mark Webster Vaughan | Paid |
| Fox, Peter Edward | Paid |
| Fraser Valley Hop Farms |
Unpaid |
| Frey Mining Company Ltd. | Unpaid |
| Friesen, Irene Rose | Paid |
| Friesen, Jacob Norman | Paid |
| Friesen, Katherine | Unpaid |
| Friesen, Leonard William | Unpaid |
| Friesen, William David | Paid |
| FS Financial Services Inc. |
Unpaid |
| FS Financial Services (Alberta) Inc. |
Unpaid |
| FS Financial Strategies Inc. |
Unpaid |
| FS Financial Strategies Services Inc. |
Unpaid |
| FS Financial Systems Inc. |
Unpaid |
| Fundex Investments Inc. | Paid |
| Fung, Christopher | Paid |
| Furman, William Wade | Unpaid |
| Furrer, Richard | Paid |
| FX Solutions LLC |
Paid |
| Gaia Equity Investments | Unpaid |
| Galton Scott & Golett Inc. | Unpaid |
| Gamble, Timothy R | Paid |
| Gant, Adam | Paid |
| Gardener-Evens, Bryn | Unpaid |
| Garrod, Randall Kane | Unpaid |
| Gartland, Douglas James | Paid |
| Genus Capital Management Inc. | Paying |
| geoTreasuries Clean Energy Limited | Unpaid |
| Gibraltar Global Securities Inc. | Paid |
| Gibbons, Kerry Wayne | Unpaid |
| Gibson, Ryan Anthony | Paid |
| Giesbrecht, Cornelius Richard | Paid |
| Gill, Barry Sher | Paid |
| Gill, Bharpur Singh | Paid |
| Gill, Nirbhia Singh | Unpaid |
| Gladu, Rene Joseph | Paid |
| Gleeson, Patrick Joseph Peter | Paid |
| Global Response Group (GRG) Corp. | Unpaid |
| Global Securities Corporation | Paid |
| Global Securities Inc. | Paid |
| Global Wealth Creation Opportunities Inc. | Unpaid |
| Global Wealth Creation Opportunities Inc. (Belize) | Unpaid |
| Global Wealth Creation Strategies Inc. | Unpaid |
| Global Wealth Financial Inc. | Unpaid |
| Glover, James Walter | Paid |
| Goldman, Mark | Unpaid |
| Good, John B | Paid |
| Gordic, Mijodrag | Paid |
| Gordon, Robert Paul | Unpaid |
| Gordon-Carmichael, Donald Brian | Unpaid |
| Gozdek, Richard | Paid |
| Gray, Gerry Edward | Paid |
| Graham, Hugh James | Paid |
| Great Canadian Capital Corp. | Paid |
| Great White Capital Corp. | Unpaid |
| Greenwald, Steven Jeffrey | Unpaid |
| Greenway, David Charles | Paid |
| Groat, Paul Kevin | Paid |
| Guerrini, Adamo | Unpaid |
| Gujral, Dilbagh Singh | Paid |
| Gulf Coast Basin Limited Partnership | Unpaid |
| Gulf Coast Basin Operating Ltd. | Unpaid |
| Gulston, Jolyon Charles Christopher | Unpaid |
| H & R Enterprises Inc. | Unpaid |
| Haarlem Universal Corp | Unpaid |
| Haarlem, Alex | Unpaid |
| Hable, Volkmar Guido | Unpaid |
| Haggerty, Jack | Paid |
| Hagopian, Richard Deriar N. | Unpaid |
| Hainey, Robert | Unpaid |
| Halisky, Darryl | Paid |
| Hall, Colin V. | Unpaid |
| Hang Lung Market Data Information Service | Unpaid |
| Hanrahan, Debbie Lorraine | Paid |
| Hansen, Wayne A | Paid |
| Harder-Toews, Shane |
Unpaid |
| Hargitai, G. Gerry | Unpaid |
| Harris, Peter David | Unpaid |
| Hartvikson, Robert Arthur | Paid |
| Hauchecorne, Jean-Claude | Unpaid |
| Havenplex Holdings Ltd. | Unpaid |
| Haywood Securities Inc. | Paid |
| Hayek, Saad (aka Hayek, Sid) | Paid |
| Heeres, Mark Stephen | Paid |
| Helina, Robert Thomas | Paid |
| Hello Pal International Inc. | Paid |
| Hemingson, Errol | Unpaid |
| Henry, Ronald James | Unpaid |
| Herar, Bhupinder Singh | Paid |
| Heredia, David Scott | Unpaid |
| Heritage Education Funds Inc. | Paid |
| Hetzer, Arthur M | Unpaid |
| Hirsch, Veronika | Paid |
| Ho, Philip | Unpaid |
| Hobkirk, Adrian F.C. | Paid |
| Hobson, Gillian | Unpaid |
| Hoffman, Dale | Paid |
| Hoffman, Sheldon | Paid |
| Hogaboam, Lyle Charles | Paid |
| Hogan, Jesse J. | Paid |
| Holmes, George Barry | Unpaid |
| Hooi, Joseph Ernest | Unpaid |
| Hope, Graham Martin | Paid |
| Hopkins, Malcolm | Paid |
| Hornby Residences Ltd. | Unpaid |
| Housego, Albert Alan |
Unpaid |
| Hrappstead, Kenneth Walter | Unpaid |
| HSBC Global Asset Management (Canada) Limited |
Paid |
| HSBC Investment Funds (Canada) Inc., et al. | Paid |
| Hu, Michael Kyaw Myint Hua | Unpaid |
| Huang, Winter (aka Dong Huang) | Unpaid |
| Hudani, Intiyazali | Paid |
| Hughes, M Ward | Paid |
| Hughes, Steven Peter (aka Hughes, Stephen Peter) | Unpaid |
| Hunter, James Jonathan | Unpaid |
| IA Clarington Investments Inc. | Paid |
| ImagineAR Inc. |
Paid |
| IMC - International Marketing of Canada Corp. | Unpaid |
| IPO Capital Corp. | Paid |
| Independent Academies Canada Inc. | Unpaid |
| Instant Vision Inc. | Paid |
| Interbank FX, LLC | Paid |
| Investax Management Inc. | Paid |
| Investors Group Financial Services Inc. | Paid |
| J-H-R Investments Ltd. | Unpaid |
| JV Raleigh Superior Holdings Inc. | Unpaid |
| Jackson, Stewart Albert | Paid |
| James, Peter | Paid |
| Janda, Lakhwindar Singh | Paid |
| Jardine, Brent Glen | Unpaid |
| Jarislowsky, Fraser Limited | Paid |
| Jeffs, Richard Norman | Unpaid |
| Jeffs, Robert Leigh | Paid |
| Jhutty, Gurpreet Kaur | Paid |
| Jin, Weiqing Jane | Paid |
| Jinnah, Firoz | Paid |
| Johnson, Blayne Barry | Paid |
| Johnson, Brent Hugo | Unpaid |
| Johnson, Edward Bernard | Unpaid |
| Johnson, Frank Albert | Unpaid |
| Johnson, Paul Daniel | Paid |
| Johnson, Ryan James | Paid |
| Johnston, John Brian | Paid |
| Johnston, Kyle Alexander |
Unpaid |
| Jones, Gable & Company Limited | Paid |
| Jones, Simon Granville Lyn | Unpaid |
| Judd, Michael D | Unpaid |
| Jukes, Andrew Richard | Paid |
| Jung, Henry | Unpaid |
| Junger, Peter A | Unpaid |
| Jupe, Robert Joseph | Paid |
| Kagna, Elliot | Paid |
| Kain, Ross | Paid |
| Kato, David Kenge | Paid |
| Keating, Kenneth Murray | Paid |
| Kehoe, Sean Francis | Paid |
| Keller, Adam | Unpaid |
| Keller, Enna M | Unpaid |
| Keller, Richard | Unpaid |
| Kellogg, Peter R. | Paid |
| Kelly, Maureen Louise | Paid |
| Kelly, Ralph | Unpaid |
| Kelly, William Thomas Edward | Paid |
| Kerkhoff, Peter | Paid |
| Kerkhoff, Willem | Paid |
| Khan, Yawar Sattar | Paid |
| Khorchidian, Raffi | Unpaid |
| Kilburn Ogilvie Waymann Investment Management Ltd. | Paid |
| Kim, Sung Wan (Sean) | Paying |
| Kim, Hyongsuk |
Paid |
| Kingsley, Jason | Unpaid |
| Klassen, Ronald Oscar | Paid |
| Klippenstein, John | Paid |
| Knight, Michael Jerome | Unpaid |
| Knowlton, Del | Paid |
| Knowlton, Linda | Paid |
| Ko, Eric Sui Fung | Unpaid |
| Koch, Caspar | Paid |
| Kocken, Wilhelmus (William) | Paid |
| Kohan, M | Unpaid |
| Kopec, Michael Norman | Paid |
| Kotler, Gordon Saul | Unpaid |
| Kozak, Iwona | Paid |
| Kriese, Roberta Jane | Paid |
| Kuhn, Brian Paul | Paid |
| Kuipers, Cameron | Paid |
| Kuit, Winston King-Loong | Paying |
| Kwasnek, Millard Michael | Unpaid |
| Kyllo, Steven Peter | Unpaid |
| La Paloma Res. Inc. | Unpaid |
| Laatsch, Lorne | Unpaid |
| Labadie, Joseph Claude Michel | Paid |
| Lai, Wai-Winnie | Paid |
| Lamb, Po Zhinke (Paul) | Unpaid |
| Lamm, Ming Bau | Unpaid |
| Lang, Martin David |
Paid |
| Lathigee, Michael Patrick | Paying |
| Lau, David Kai-Fai | Paid |
| Lau, Tin Chao Alan | Unpaid |
| Launder, Robert | Paid |
| Laurentian Funds Management Inc. | Paid |
| Lavaca III Limited Partnership | Unpaid |
| Law, James Bernard | Unpaid |
| Lay, George | Paid |
| Lazerson, Jared Michael | Paid |
| Lee, Larry | Unpaid |
| Lee Turner & Associates |
Paid |
| Lenis Medicals Ltd. |
Paid |
| Lester Asset Management Inc. | Paid |
| Letendre, James Calvin | Unpaid |
| Levinson, Akiko | Paid |
| Levinson, Michael | Paid |
| Lewko, Gerald | Unpaid |
| Leyk, Robert Joseph | Unpaid |
| Lian, Richard | Unpaid |
| Liao, Wei Kai (aka Liao, Kevin) |
Unpaid |
| Lieberman, Philip | Unpaid |
| Liem, Erwin | Paid |
| Lim, Aik Guan "Frankie" |
Paying |
| Lim, David Tuan Seng | Unpaid |
| Lionheart Energy Corp. | Paid |
| Liquid Gold Resources Inc. | Unpaid |
| Lis, Stanislaw Leon | Paid |
| Little, Glenn Albert | Paid |
| Liu, Chien-Hua (aka Liu, William) | Paid |
| Lloyd, William Ralph | Paid |
| Lo, William Kee Yiu | Unpaid |
| Local 1661 Building Inc. | Unpaid |
| Loewen, Thomas | Paid |
| London & Global (UK) Ltd. | Unpaid |
| London & Global FX (Canada) Ltd. | Unpaid |
| Loughery, Stewart Douglas | Unpaid |
| Low, Scott Thomas |
Unpaid |
| Lyall, David Mackenzie | Paid |
| Ma, Alexander Kwong Chao | Paid |
| Maarsman, Daniel | Paid |
| Mabone, Tracy Anne |
Paid |
| MacDougall Investment Counsel Inc. | Paid |
| MacGregor-Bock, Jill Ellen | Paid |
| Mackie Research Capital Corporation | Paid |
| MacPhee, Donald James | Paid |
| Macdonald, James Clark | Paid |
| Macdonald, Richard Angus Bruce | Unpaid |
| MacNeill, Maureen | Paid |
| MacSween, Todd David |
Paying |
| Magid, Sameh | Paid |
| Mahoney, Richard Patrick Joseph | Paid |
| Main, Charles Alexander | Unpaid |
| Malim, Andrew Frederic De Paula | Paid |
| Malone, William Raymond | Unpaid |
| Manhattan Minerals Corp. | Paid |
| Markham, Ronald Victor | Paid |
| Martin Lucas Seagram Ltd | Paid |
| Martinez, Jesus Ricafort | Paid |
| Mason, Derek | Unpaid |
| Mason, Douglas Laurence | Paid |
| Mason, Matthew John | Paid |
| Massey, William Ernest | Unpaid |
| Mastracci, Adrian | Paid |
| Matthews, Daniel Brennan | Paid |
| Maudsley, Paul Robert | Unpaid |
| Maxwell, Don | Paid |
| Maxwell, Steven (aka Fassman, Steven) | Unpaid |
| McCabe, Colin Robert Hugh | Unpaid |
| McCarney, James Nelson | Paid |
| McClay, Brian Anthony | Paid |
| McCord, Jeffrey David |
Paid |
| McEwen, Cameron Willard | Paid |
| McGee, Daniel Grant | Unpaid |
| McHaffie, Ronald Stephen | Unpaid |
| McIntosh, Roberta Merlin | Unpaid |
| McLean, Ernest John V | Unpaid |
| McLean, Robert Douglas | Unpaid |
| McLean, Roderick A | Paid |
| McLeary, Mark Aaron | Unpaid |
| McLeod, Hal (Mick) Allan | Unpaid |
| McLoughlin, John Arthur Roche | Unpaid |
| McMillan, Chad David | Paid |
| McMillan, Hugh Alexander | Paid |
| McMordie, Kenneth Robert (aka Fox, Byrun) | Unpaid |
| McNeilly, George | Unpaid |
| Mesidor, Jefferson Franklin | Unpaid |
| Mellios, Aristedes | Paid |
| Melville Orca Partnership | Paid |
| Mercury Capital S.A. | Unpaid |
| Merrill Lynch HSBC Canada Inc. | Paid |
| MGX Minerals Inc. | Paid |
| Michaels, David Michael | Unpaid |
| Michopoulos, Konstandino | Paid |
| Micron Systems Inc. | Unpaid |
| Midas Group Holdings Ltd. | Unpaid |
| Middleton, Robert Stuart | Paid |
| Mileta, Zeljko | Unpaid |
| Military International Limited | Unpaid |
| Millar, Alexander | Paid |
| Millar, Donna | Paid |
| Mindoro Corporation | Paid |
| Mitrou, Teresa Inez Marie | Paid |
| Mitton, Michael Lee | Unpaid |
| Moenkopi Resources Inc. | Unpaid |
| Mohan, Daniel G. | Unpaid |
| Moll, William Ronald | Unpaid |
| Molson, Glenn Owen | Paid |
| Moneywatch Consultants Limited | Paid |
| Montaine, Monty Gregory Lorne | Paid |
| Montaldi, Douglas Victor | Unpaid |
| Moore, Robert Emerson | Paid |
| Moran, Kevin R | Paid |
| Morgan Stanley & Co. Incorp. | Paid |
| Moxon, Elizabeth Anne | Paid |
| Mueller, Ingo W | Paid |
| Mugford, Michael | Unpaid |
| Muir, Kenneth Alexander | Paid |
| Murray, Robert B. | Paid |
| Musewald, Detlef | Unpaid |
| Mushaluk, Jeffrey Dean | Paid |
| M.Y. Capital Management Corporation |
Paid |
| Nagra, Daljinder | Paid |
| Naso, Robert James | Unpaid |
| Nast, Barbara Leanne | Paid |
| National Bank Financial Inc. | Paid |
| National Credit Counsellors of Canada | Paid |
| Nawata, Richard Dean Reoji | Paid |
| Negus, Lionel Mervin | Paid |
| Neighbourhood Holding Company Ltd. | Paid |
| Nelson, Doris Elizabeth | Unpaid |
| Nelson, Eric Wayne | Unpaid |
| Nemeth, Susan Grace | Unpaid |
| Nesbitt, Frederick Maurice | Unpaid |
| New Seafarm Systems Inc. | Paid |
| Newsom, Donald | Unpaid |
| Newsom, Douglas | Unpaid |
| Newsom, Richard Frank John | Unpaid |
| Newton, James | Paid |
| Nexus Global Trading Ltd. (dba Nexus Distribution Group) |
Unpaid |
| Ng, Charlie Chi Kin | Unpaid |
| Ng, Mau Chung | Unpaid |
| Nicholls, Paul J. | Unpaid |
| Nicholson, Donald | Paid |
| Nickford, Lynne Rae (aka Zlotnik, Lynne Rae) | Unpaid |
| Noram Capital Management, Inc. | Unpaid |
| Northern Pipeline Resources Ltd. | Unpaid |
| Northern Securities Inc. | Paid |
| Northridge Energy Optimizer Corporation | Unpaid |
| Nuttall, Jo Ann | Paid |
| NuWealth Financial Group Inc. | Unpaid |
| Nyssen, John Henry | Paid |
| O'Connor, Paul Larry | Unpaid |
| Oasis Publishing of Canada Corp. | Paid |
| Odyssey Renewable Growth Inc. | Unpaid |
| Oei, Paul Se Hui | Unpaid |
| Okano, Darwin James Hajime | Paid |
| Ollenberger, Roger Dean | Unpaid |
| Olsen, Michael Paul | Unpaid |
| Omelus, James Ronald | Paid |
| OptionsXpress, Inc. | Paid |
| Oriens Travel & Hotel Management Corp. | Unpaid |
| Orr, Frederick George | Paid |
| Pacific International Securities Inc. | Paid |
| Canada Pacific Consulting Inc. | Unpaid |
| Paddock, Cameron Robert |
Paid |
| Palmer Court Ltd. Partnership | Paid |
| Pan, Chun Ying "Jim" | Paying |
| Pancer, Alex | Unpaid |
| Papalia, Robert | Unpaid |
| Paradox Distributors Ltd. | Unpaid |
| Park, Trevor William | Paid |
| Partners In Planning Financial Serv. Ltd. | Paid |
| Pasquill, Earle Douglas | Unpaid |
| Patel, Akash | Paid |
| Paterson, Gordon Cameron | Paid |
| Patterson, David Michael | Paid |
| Paulson, Dale Michael | Unpaid |
| Penko, Renee Michelle | Unpaid |
| Penstock, Kevin | Paid |
| Penn, Richard Ryan | Paid |
| Permion Technologies Inc. | Paid |
| Perrett, Jon Brian | Paid |
| Perrin, Geoffrey Christopher | Paid |
| Peterson Investment Group Inc. | Paid |
| Peterson Investment Holdings Inc. | Paid |
| Phillips Hager and North Investment Counsel Ltd. | Paid |
| Pfeffer, John W. | Paid |
| Pierce, Gordon Brent | Unpaid |
| Pinchin, Timothy James | Unpaid |
| Pinkett, Preston II | Unpaid |
| Plentech Electronics, Inc. | Paid |
| Plumacher, Edward John | Paid |
| Poe, Paula Marie | Paid |
| Poirier, Jeremy Arthur William | Paid |
| Pollock, Daryl Lorne | Paid |
| Poonian, Thalbinder Singh | Unpaid |
| Poonian, Shailu Sharon | Unpaid |
| Portfolio Strategies Corporation | Paid |
| Postles, Simon Gervaise William | Unpaid |
| Powley, Mary Nicole | Paid |
| Price, George | Unpaid |
| Prinster, Patrick K. | Paying |
| Pro-Fund Distributors Ltd. | Paid |
| Prowse, Andrew Rutherford | Paid |
| Pyper, John Terrance | Paid |
| Qiao, Lei |
Paid |
| Quantum Financial Services (Canada) Ltd. | Paid |
| Quattro Resources Ltd. | Paid |
| Questrade, Inc. | Paid |
| Rak, Jerome John | Paid |
| Ralph, Leonard George | Paid |
| Ramji, Alnoor | Paid |
| Randhawa, Devinder | Paid |
| Rashida Samji Notary Corporation | Unpaid |
| Rast, Wilfred Lorne | Unpaid |
| Regal Capital Planners Ltd. | Paid |
| Rempel, John Henry | Unpaid |
| Research Capital Corporation | Paid |
| Reynolds, Keir | Paid |
| Rhodes, Edward Charles | Paid |
| Richards, Alan | Unpaid |
| Richmond Savings Investments | Paid |
| Ridgeline Energy, Ltd. | Unpaid |
| Rieder, Hans Albert | Paid |
| Riepe, Rudolph | Unpaid |
| Riis, Nelson | Paid |
| Rivers, Gregory William | Paid |
| Robinson, Douglas Wilfred | Paid |
| Rockshore Advisors Ltd. |
Paid |
| Roeder, John Walter Scott | Paid |
| Rosen, Glenn Anthony | Unpaid |
| Rosen, Jerome | Unpaid |
| Rosiek, Dianne Sharon | Unpaid |
| Ross, Aaron | Paid |
| Ross, Stanley Steven | Paid |
| Royal Bank Action Direct Inc. | Paid |
| Royal Crown Ventures Group Ltd. | Unpaid |
| Rubin, Roman Reuven | Paid |
| Ruge, Michael Ernst | Unpaid |
| Rush, Robert Bruce | Unpaid |
| Ruthven, David Malcolm | Paid |
| Saafnet Canada Inc. | Unpaid |
| Salari, Hassan Seyed |
Paid |
| Sam, Daniel Quo Ming | Paid |
| Sami, Vikash | Paid |
| Samji & Assoc. Holdings Inc. | Unpaid |
| Samji, Rashida | Unpaid |
| Sand, John | Unpaid |
| Sanders, Anne | Paid |
| Sanderson, Alastair | Paid |
| Sasseville, Raymond Michael Roger | Unpaid |
| Sasseville, Edith Marie | Unpaid |
| Savics, Eric | Paid |
| Savage, Michael James | Unpaid |
| SBC Financial Group Inc. | Unpaid |
| Scammell, Daniel | Unpaid |
| Scharfe, Bradley Nixon | Paid |
| Schepannek, Carl Wolfgang | Unpaid |
| Schiller, Betty | Paid |
| Schiller, Paul | Paid |
| Schneider, Harold | Paid |
| Schouw, Brendan James | Unpaid |
| Schramm, David Andrew |
Paid |
| Scotia Capital Inc. | Paid |
| Scotia Discount Brokerage Inc. | Paid |
| Scott, Elford Mason | Unpaid |
| Sea Tank Systems Corporation | Paid |
| Sears, Thomas Joseph | Unpaid |
| Seifert, Michael Lee | Paid |
| Senior, Ross L. | Paid |
| Serona Resource Corporation | Unpaid |
| Servedio, Francesco |
Paid |
| Shantz, Michael Robert | Unpaid |
| Sharan, Rahoul | Paid |
| Sharma, Shayne William | Unpaid |
| Shaylor Management Ltd. | Unpaid |
| SHH Holding Ltd. | Unpaid |
| Shirvani, Farshad | Paid |
| Shum, David Yan Sum | Paid |
| Siddiqi, Fatir Hussain | Unpaid |
| Sidhu, Geoffrey Rajay | Paid |
| Siega, Albert Daniel | Unpaid |
| Sihota, Manjit Singh | Unpaid |
| Sihota, Perminder | Unpaid |
| Simons, Montague | Unpaid |
| Simonson, Laura | Paid |
| Sim, Robert Alexander | Unpaid |
| Sims, Brian Edward | Paid |
| Sinclair, James | Paid |
| Sinclaire, Rob | Paid |
| Sirianni, Eugenio | Unpaid |
| Sirianni, Francesco | Unpaid |
| Siu, Nelson KenFung | Paid |
| Sivertson, Ralph | Paid |
| Skelly, Jean-Marie | Unpaid |
| Skimming, Thomas | Unpaid |
| Sklar, Gerald Emile | Paid |
| Slightham, George Stephen | Paid |
| Slobogian, Brian | Unpaid |
| Smith, Justin Trent | Paid |
| Smith, Kenneth Edward | Paying |
| Smith, Maisie (aka Smith, Maizie) | Unpaid |
| Smith, Richard John | Unpaid |
| Smithson, Bradley Daniel | Paid |
| Snider, Rodney John | Paying |
| Soo, Siu Kon "Bonnie" | Unpaid |
| Sota Mining Group Ltd. | Unpaid |
| Southwood, Craig | Unpaid |
| Spangenberg, John Ferdinand Alexander | Unpaid |
| Specogna Minerals Corporation | Paid |
| Specogna, Efrem Mario Maurizio | Paid |
| Specogna, Lucia Adriana | Paid |
| Specogna, Marino John Ignatius | Unpaid |
| Squires, Stephen B. | Paid |
| Stang, Bernard E | Unpaid |
| Stanhiser, Gary | Unpaid |
| Starcom International Optics Corporation | Paid |
| Starteck Industries Ltd. | Paid |
| Steffensen, Gunter | Paid |
| Stellar Metals Inc. | Paid |
| Stenner, Paul Anthony | Unpaid |
| Stevenson, Malcolm C B | Unpaid |
| Stevenson, Malcolm | Unpaid |
| Stickley, Douglas Russell | Unpaid |
| Stiles, Paul Lester | Unpaid |
| Stirrett, Dwight Allen | Paid |
| Stitt, Robert John Alexander | Paid |
| Stock Social Inc. |
Unpaid |
| Stojak, Patrick Thomas | Paid |
| Stone, David Howard | Paid |
| Strategic Global Investments | Unpaid |
| Stuart, Christopher Michael | Paid |
| Stubos, George | Paid |
| Sullivan, Myron II (aka Sullivan, Fred Myron George) | Unpaid |
| Sumal, Kamaljeet Kaur | Paid |
| Summit Aurum Financial Group Inc. | Paid |
| SunCentro Corporation | Unpaid |
| Sungur, Zafer Erick | Unpaid |
| Sutcliffe, Donald John | Paid |
| Swanney, James | Unpaid |
| Symmetry 2 Mortgage Investment Corporation | Paid |
| Synlan Securities Corporation | Unpaid |
| TD Securities Inc. | Paid |
| TD Waterhouse Canada Inc. | Paid |
| TD Waterhouse Canada Inc. | Paid |
| TD Waterhouse Investors Services (Canada) Inc. | Paid |
| TWC Financial Corp. | Paid |
| Tac International Ltd. | Unpaid |
| Tamaki, Michael Masao | Paid |
| Tamburrino, Giuliano Angelo | Unpaid |
| Tan, Sean | Paid |
| Tan, Virginia | Unpaid |
| Tandem Capital Group Inc. | Paid |
| Tang, David | Unpaid |
| Tatham, Peter Charles | Paid |
| Teo, Allister Kheng Guan | Paid |
| The Falls Capital Corp. | Unpaid |
| The Height of Excellence Financial Planni | Paid |
| Thermo Tech Technologies Inc. | Paid |
| Thibert, Joseph Yvan JeanClaude (aka Thibert, John) | Paid |
| Thompson, Christopher John | Paid |
| Thompson, Gary B. | Paid |
| Thompson, John P | Paid |
| Thompson, Norman F | Paid |
| Thompson, Peter B. | Unpaid |
| Thompson, Rex W | Paid |
| Thompson, Veryan Elizabeth | Unpaid |
| Thomson, Bruce | Unpaid |
| Thomson Kernaghan & Co. Limited | Paid |
| Thow, Ian Gregory | Unpaid |
| Tierney, Brian | Paid |
| Tildesley, Murray | Paid |
| Tisserand, Troy | Paid |
| Tong, Richard | Paid |
| Torres, Jaime Alejandro | Paid |
| Torudag, Kegam Kevin | Paid |
| Townsend, Michael Derek | Paid |
| Tranter, Peter Oliver | Unpaid |
| Tremain, Gordon | Paid |
| Tri-West Investment Club | Unpaid |
| Trociuk, Kenneth William | Paid |
| Tsai, Meng Cher "Philip" | Paid |
| Tsakok, Raoul Noel | Paid |
| Tsang, Johnathan L W | Paid |
| Tsang, Selena Ching Wan | Paid |
| Tuijthof, Adrienne Cornelia Petra Souraya | Paid |
| Ude, Godwin Ifeanyi | Paid |
| U-GO Brands Nutritional Products Inc. | Unpaid |
| USC Education Savings Plans Inc. | Paid |
| Ultra Petroleum Corp. | Paid |
| Union Securities Ltd. | Paid |
| Uppal, Kulbir Singh (Kelly) | Paid |
| Uppal, Paul | Paid |
| Van Samang, Theodorus Gerardus | Unpaid |
| Vaughan, David J. | Unpaid |
| Vaughan, David John | Unpaid |
| Verdmont Capital, S.A. | Paid |
| Verico FS Capital Inc. |
Unpaid |
| Verified Transactions Corp. | Unpaid |
| VerifySmart Corp. | Unpaid |
| Vertex One Asset Management Inc. |
Paid |
| Villarin, Justin Colin | Unpaid |
| Vincent, Marie-Joy |
Paid |
| Viribus Structural Connectors Inc. |
Unpaid |
| Virk, Narvinder Singh Patric | Paid |
| Voisin, James Arthur Robert | Unpaid |
| W. B. Investments, Inc. | Unpaid |
| W. H. Stuart Mutuals Ltd. | Paid |
| Waage, Alyn Richard | Unpaid |
| Waage, Cary Alyn | Paid |
| Walker, Andrew Gordon | Paying |
| Wall Financial Corp | Paid |
| Wall, Bruno | Paid |
| Wall, Peter | Paid |
| Wareham, Norman George Wilfred | Paid |
| Waters, Jodi Lynn | Unpaid |
| Waters, Robert | Paid |
| Watson, Mackenzie Iles | Paid |
| WBIC Canada Ltd. | Unpaid |
| Weatherell, Jack John Howard | Unpaid |
| Webb, James Michael | Unpaid |
| Webster, Paul | Paying |
| Wei, Sabrina Ling Huei | Unpaid |
| Weicker, Robert Frederick | Paying |
| Weicker, Amina Umutoni | Unpaid |
| Weigel, Dennis Carl | Paying |
| Weinstein, Les | Paid |
| Weiss, Donald | Unpaid |
| Wellington Trading Group, S.A. | Paid |
| Werbes, Kjeld | Paid |
| West Karma Ltd. | Unpaid |
| Weymin Mining Corporation | Paid |
| Whelan, Barry | Paid |
| Wharram, Rodney Jack | Unpaid |
| Whiting, Cora Amelia | Unpaid |
| Whiting, Francis Beaumont | Unpaid |
| Whorley, Donald Lynn | Unpaid |
| Wiebe, Charles | Paid |
| Wiebe, Darrell Wayne |
Paid |
| Wied, James Albert | Paid |
| Wiegel, Jeffrey Karl | Unpaid |
| Williams, Byron Leslie | Unpaid |
| Williams, Jerry | Unpaid |
| Williams, John Philip Mackenzie | Paid |
| Williams, Regan Michael | Unpaid |
| Williams, Robert Laudy | Paid |
| Williams, Thomas Arthur | Unpaid |
| Wilson, Barry Gregory | Paid |
| Wilson, Donald Bruce | Unpaid |
| Wilson, Douglas Robert Eugene | Paid |
| Wilson, Kevin | Paid |
| Wilson, Mark Steven | Unpaid |
| Wilson, Michael Allan | Paid |
| Winch, Bruce James | Paid |
| Winter, Lynn Ellen | Unpaid |
| Wireless Wizard Technologies Inc. | Unpaid |
| Wirth Associates Inc. | Paid |
| Wise, Peter William Arthur | Paid |
| Wolverton Securities Ltd. | Paid |
| Wolverton, Brent | Paid |
| Wong, Chi Kay "Dixon" | Paid |
| Wong, Siu Mui "Debbie" | Unpaid |
| Wong, Tat Chiu (Sonny) | Unpaid |
| Wong, Wai Ming (Wendy) | Unpaid |
| Woo, Patrick | Paid |
| Wood, Douglas William Falconer | Paid |
| Wright, Alwyn Christopher Dales | Paid |
| Wright, Catharine Bruce | Paid |
| Wright, David Scott | Unpaid |
| Wright, Jerome Lee | Unpaid |
| YDS Energy, Resources and Humanitarian Relief Corporation | Unpaid |
| Yaletown Brewing Company & Restaurant Limited Partnership | Paid |
| Yeandle, C. Philip | Paid |
| Yong, Alfredo Miguel “Michael” | Unpaid |
| Yorkton Securities Inc. | Paid |
| Young, Michael Louis |
Paid |
| Yuen Chow Equities Limited | Unpaid |
| Yuen Chow International Group | Unpaid |
| Yuen Way Hang Lung International Foreign Exchange Co. | Unpaid |
| Yuen, Hing Wai (aka Yuen, George) | Unpaid |
| Zarr, Daveed (formerly known as Asi Lalky) | Paying |
| Zhang, Guan Qiang | Unpaid |
| Zhong, Hong Liang | Unpaid |
| Zhu, Shijun "Clark" |
Paying |
| Zhu, Yan | Unpaid |
| Zucchet, Dale | Paying |
| Zulak, Melvin | Paid |