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Regulator Decisions

Regulator’s decisions content includes orders and decisions from both FCNB and other regulatory bodies, up-to-date lists of disciplined persons, hearings, and undertakings and voluntary actions information.

You can find decisions by the Financial and Consumer Services Commission, including previous decisions by the former New Brunswick Securities Commission (before 2013), using the search tool below.  

On 2 July 2013, the New Brunswick Securities Commission became part of the Financial and Consumer Services Commission. After 2 July 2013, some matters that had commenced at the New Brunswick Commission administrative panel were continued under the Financial and Consumer Services Tribunal. In June 2023, the functions and duties of the Tribunal were transferred to the Energy and Utilities Board.

Decisions by the Financial and Consumer Services Commission Database

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1316 Result(s)

Praamsma, Conrad

Type: Notice of Hearing
Type: Statement of Allegations

Praamsma, Justin

Type: Statement of Allegations
Type: Temporary Order
Type: Notice of Hearing

Saxon Consultants Ltd.

Type: Temporary Order
Type: Notice of Hearing
Type: Statement of Allegations

Saxon Financial Services Ltd.

Type: Notice of Hearing
Type: Temporary Order
Type: Statement of Allegations

Wilson, Sean

Type: Temporary Order
Type: Notice of Hearing
Type: Statement of Allegations

Young, Todd

Type: Notice of Hearing
Type: Statement of Allegations
Type: Temporary Order

Campbell, David

Type: Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

da Silva, Carlos

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Grossman, Al

Type: Consolidated Amended Statement of Allegations
Type: Order
Type: Order
Type: Consolidated Amended Notice of Hearing
Type: Consent Order
Type: Consent Order
Type: Supplementary Notice of Hearing
Type: Amended Statement of Allegations

Limelight Capital Management Ltd.

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Limelight Entertainment Inc.

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Mezinski, Tom

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing

Ulfan, Hanoch

Type: Consolidated Amended Statement of Allegations
Type: Consolidated Amended Notice of Hearing
Type: Consent Order

First Global Ventures S.A.

Type: Order
Type: Order
Type: Consent Order
Type: Supplementary Notice of Hearing
Type: Amended Statement of Allegations

Marsh Shuman, Alan

Type: Order
Type: Order
Type: Consent Order
Type: Supplementary Notice of Hearing
Type: Amended Statement of Allegations

Baskin Financial Services Inc.

Type: Reasons for Decisions
Type: Consent Order
Type: Statement of Allegations

Baskin, David

Type: Reasons for Decisions
Type: Statement of Allegations

Hanley, James K.

Type: Reasons for Decisions
Type: Order and Settlement Agreement
Type: Order

Haley, Keith

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Statement of Allegations
Type: Notice of Hearing

Jabez Financial Services Inc.

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

JFS Credit Union

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations

LeBlanc, Normand

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Statement of Allegations
Type: Notice of Hearing

Sponagle, Quintin

Type: Order
Type: Order
Type: Order
Type: Order
Type: Order
Type: Order

Lanys, Steve

Type: Consent Order

Maitland Capital Ltd.

Type: Consent Order

Messinger, Saul

Type: Consent Order

Travin, Jack

Type: Consent Order

Waddingham, Leonard

Type: Consent Order

Wadhwani, Kim

Type: Consent Order