Sanction Payment Status List
The list below includes the status of all monetary sanctions ordered by the BC Securities Commission since its incorporation on April 1, 1995.
| Company or individual assessed | Status |
|---|---|
| 1081627 B.C. Ltd. DBA ezBtc | Unpaid |
| 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 |
| addy Technology Corp. | Paid |
| 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 |
| Asiatic Management Consultants 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 |
| Benne, Jeremy Alexei | 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. | Paying |
| 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 |
| BridgeMark Financial Corp. | 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 |
| County Line Energy Inc. | Paid |
| 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 | Paid |
| 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 |
| Doroudian, Ahmad | Unpaid |
| 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 |
| Fieldhouse Capital Management Inc. | Unpaid |
| Fenner, Richard | Unpaid |
| Ferguson, William McDonald | Paid |
| Fernback, Timothy | Paid |
| Fetterly, Alan James |
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 Globe Capital International Inc. | 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 | Paying |
| 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 Crossing Airlines Group Inc. |
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 |
| Griffiths, Arthur |
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 & Company Professional Corp. | Paid |
| Jackson, Anthony Kevin | Paid |
| Jackson, Stewart Albert | Paid |
| Jamani, Aarif | Paid |
| James, Peter | Paid |
| Janda, Lakhwindar Singh | Paid |
| Jardine, Brent Glen | Paying |
| 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 |
| Kazana Financial Inc. (formerly Kazana Capital Corp) | Paid |
| Keating, Kenneth Murray | Paid |
| Keay, Aaron | 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 |
| KingdomInvestments2015 Inc. (formerly KingdomRealty Inc. and Kingdom Investments Inc.) | Unpaid |
| 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 | Paying |
| 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 |
| LiquidTrade Ltd. | Unpaid |
| Lis, Stanislaw Leon | Paid |
| Little, Glenn Albert | Paid |
| Liu, Chien-Hua (aka Liu, William) | Paid |
| Liu, Justin Edgar | Paid |
| Lloyd, William Ralph | Paid |
| Lo, Wayne | 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 |
| Lukor Capital Corp. | Paid |
| 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 |
| Mah, Christine | 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 |
| Mohamed, Tajkarim | Paid |
| 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, Bradley Donald | Unpaid |
| Moore, Robert Emerson | Paid |
| Morabito, Mark |
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 |
| NetCents Technology Inc. | Paid |
| 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. | Paying |
| 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 |
| Onstad, Michael Duane | Unpaid |
| 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 |
| Rayess, Hani El |
Paid |
| 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 |
| Sereda, William Douglas | Paid |
| Serona Resource Corporation | Unpaid |
| Servedio, Francesco |
Paid |
| Shantz, Michael Robert | Paying |
| 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 |
| Smillie, David | 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 |
| Sunderji, Anish | Paid |
| 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 Burrard Mortgage Investment Corp | 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 |
| WealthBar Financial Services Inc. | Paid |
| Weatherell, Jack John Howard | Unpaid |
| Webb, James Michael | Unpaid |
| Webster, Paul | Paying |
| Wei, Sabrina Ling Huei | Unpaid |
| Weicker, Robert Frederick | Paid |
| Weicker, Amina Umutoni | Unpaid |
| Weigel, Dennis Carl | Paid |
| 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 | Paying |
| White, Cherie Evangeline | 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 |
| Wisbey, John Michael | 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 |
| Zhang, Meiyun | Unpaid |
| Zhang, Qian (aka Eve Zhang) | Paid |
| Zhong, Hong Liang | Unpaid |
| Zhu, Shijun "Clark" |
Paying |
| Zhu, Yan | Unpaid |
| Zucchet, Dale | Paying |
| Zulak, Melvin | Paid |