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Decisions

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Following a hearing in an enforcement proceeding, the hearing panel provides written reasons for its findings on liability or decision on sanction. This page contains panel findings and decisions relating to enforcement proceedings.

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Showing 1 - 50 of  930  records as of 2019-03-19 12:00:00 AM

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Date Subject Format
2019-03-11 Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A. [Decision]
2019-03-04 Edward Earl Chieduch [Reciprocal Order]
2019-03-04 Mitchell Gordon Adam [Reciprocal Order]
2019-03-04 Stewart Douglas Loughery and Military International Limited [Decision]
2019-02-19 Alan Braun, Jerry Braun, Steven Maxwell (aka Steven Fassman), Braun Developments (B.C.) Ltd., 8022275 Canada Inc. and 0985812 B.C. Ltd. (dba TerraCorp Investment Ltd.) [Decision]
2019-02-15 James Marc Gravelle (also known as Marc Joseph James Gravelle and Marc James Gravelle) and WY ATAP Investments Inc. [Findings]
2019-01-22 Chilean Metals Inc. and TSX Venture Exchange [Reasons for Decision]
2019-01-21 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Reasons for Decisions]
2019-01-16 BridgeMark Financial Corp., Jackson & Company Professional Corp., Anthony Kevin Jackson, Lukor Capital Corp., Justin Edgar Liu, Rockshore Advisors Ltd. (formerly known as Cam Paddock Enterprises Inc.), Cameron Robert Paddock, Simran Singh Gill, JCN Capital Corp., John Rosarino Bevilacqua, Essos Corporate Services Inc., Sway Capital Corp., Von Rowell Torres, David Matthew Schmidt, Detona Capital Corp., Danilen Villanueva, Natasha Jon Emami, Altitude Marketing Corp., Ryan Peter Venier, Platinum Capital Corp., 658111 B.C. Ltd., Jason Christopher Shull, Tryton Financial Corp., Abeir Haddad, Tavistock Capital Corp., Robert John Lawrence, Jarman Capital Inc., Scott Jason Jarman, Northwest Marketing and Management Inc., Aly Babu Husein Mawji, Rufiza Babu Husein Mawji-Esmail, Denise Marie Trainor, Randy White, Escher Invest SA, Hunton Advisory Ltd., Kendl Capital Limited, 1153307 B.C. Ltd., Russell Grant Van Skiver, Bertho Holdings Ltd., Robert William Boswell, Haight-Ashbury Media Consultants Ltd., Ashkan Shahrokhi, Saiya Capital Corporation, Tara Kerry Haddad, Keir Paul MacPherson, Tollstam & Company Chartered Accountants, Albert Kenneth Tollstam, 727 Capital, David Raymond Duggan, Viral Stocks Inc., 10X Capital, Cryptobloc Technologies Corp., New Point Exploration Corp., Green 2 Blue Energy Corp., BLOK Technologies Inc., Kootenay Zinc Corp., Affinor Growers Inc., Beleave Inc., Liht Cannabis Corp. (formerly known as Marapharm Ventures Inc.), PreveCeutical Medical Inc., Speakeasy Cannabis Club Ltd., and Abattis Bioceuticals Corp. [Decision]
2018-12-05 Robert Joseph Leyk [Decision]
2018-11-28 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Reasons for Decision]
2018-11-23 Chien-Hua Liu, also known as William Liu, NuWealth Financial Group Inc. and CPFS Professional Financial Services Inc [Findings]
2018-11-19 Chilean Metals Inc. and TSX Venture Exchange [Order]
2018-11-09 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Decision]
2018-11-02 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Decision]
2018-11-02 Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A. [Ruling]
2018-10-31 Roberto Castano [Reciprocal Order]
2018-10-31 Shariff Chandran [Reciprocal Order]
2018-10-24 Alan Braun, Jerry Braun, Steven Maxwell (aka Steven Fassman), Braun Developments (B.C.) Ltd., 8022275 Canada Inc. and 0985812 B.C. Ltd. (dba TerraCorp Investment Ltd.) [Findings]
2018-10-24 Chilean Metals Inc. and TSX Venture Exchange [Order]
2018-10-19 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Decision]
2018-10-12 Mountainstar Gold Inc. and Brent Hugo Johnson [Findings]
2018-10-09 Matthew John Hamilton and Braeden William Sinclair Lichti (aka Braeden Sinclair) [Findings]
2018-10-05 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Ruling]
2018-09-19 Larry Keith Davis [Decision]
2018-09-18 Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. [Ruling]
2018-09-05 SBC Financial Group Inc. and Prabhjot Singh Bakshi [Decision]
2018-08-08 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220 B.C. Ltd. and 0905701 B.C. Ltd. [Decision]
2018-07-05 Investment Industry Regulatory Organization of Canada and Alberto Tassone [Decision and Reasons]
2018-05-24 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin Ardalan [Findings and Decision]
2018-05-22 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Ruling]
2018-05-16 Thalbinder Singh Poonian, Shailu Sharon Poonian, Manjit Singh Sihota and Perminder Sihota [Decision]
2018-05-11 Roy Ping Bai, also known as Ping Bai, and RBP Consulting [Decision]
2018-04-27 Stewart Douglas Loughery and Military International Limited [Findings]
2018-04-25 Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A. [FIndings]
2018-04-16 SBC Financial Group Inc. and Prabhjot Singh Bakshi [Findings]
2018-02-21 James Francis Gerard Callaghan and the TSX Venture Exchange [Order]
2018-02-19 Randi A. Bochinski [Decision]
2018-02-08 David Charles Phillips [Reciprocal Order]
2018-02-08 John Russell Wilson [Reciprocal Order]
2018-02-06 Roy Ping Bai, also known as Ping Bai, and RBP Consulting [Findings]
2018-02-02 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) [Decision]
2018-01-17 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos and Rahim Jiwa) [Reasons for Decision]
2018-01-15 Cinnabar Explorations Inc., Christopher James G. Bass, Daniel Grant McGee, and Dale Zucchet [Variation Order]
2018-01-15 Cinnabar Explorations Inc., Christopher James G. Bass, Daniel Grant McGee, and Dale Zucchet [Variation Order]
2018-01-15 EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller [Variation Order]
2018-01-15 IAC – Independent Academies Canada Inc., Micron Systems Inc., Theodore Robert Everett, Leonard George Ralph, and Robert H. Duke [Variation Order]
2018-01-15 JV Raleigh Superior Holdings Inc., Maisie Smith (aka Maizie Smith), and Ingram Jeffrey Eshun [Variation Order]
2018-01-15 Manna Trading Corp Ltd., Manna Humanitarian Foundation, Legacy Capital Inc., Legacy Trust Inc., Hal (Mick) Allan McLeod, David John Vaughan, Kenneth Robert McMordie (also known as Byrun Fox), Dianne Sharon Rosiek, and Robert (Robb) Murray Perkinson [Variation Order]
2018-01-15 SPYru Inc., Paradox Distributors (1992) Ltd., Echo Partners Ltd., U-GO Brands Nutritional Products Inc., Peter David Harris, Lorne Neil Cire, Christopher Andrew Burke, Millard Michael Kwasnek, and Joseph Yvan JeanClaude Thibert a.k.a. John Thibert [Variation Order]