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Regulator Decisions

Regulator’s decisions content includes orders and decisions from both the Commission 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

Between
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1402 Result(s)

Al Grossman

Type: Consent Order
Type: Order
Type: Order
Type: Order
Type: Supplementary Notice of Hearing
Type: Supplementary Statement of Allegations
Type: Order
Type: Order
Type: Order
Type: Statement of Allegations
Type: Notice of Hearing
Type: Order
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations
Type: Order
Type: Temporary Cease Trade Order

Carlos da Silva

Type: Consent Order
Type: Order
Type: Supplementary Notice of Hearing
Type: Supplementary Statement of Allegations
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations
Type: Temporary Cease Trade Order

David Campbell

Type: Consent Order
Type: Order
Type: Supplementary Notice of Hearing
Type: Supplementary Statement of Allegations
Type: Order
Type: Notice of Hearing
Type: Statement of Allegations
Type: Temporary Cease Trade Order

Hanoch Ulfan

Type: Consent Order
Type: Order
Type: Order
Type: Supplementary Notice of Hearing
Type: Supplementary Statement of Allegations
Type: Order
Type: Order
Type: Statement of Allegations
Type: Notice of Hearing
Type: Temporary Cease Trade Order

Limelight Capital Management Ltd.

Limelight Entertainment Inc.

Tom Mezinski

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

James K. Hanley

Type: Notice of Hearing
Type: Statement of Allegations

Jack Travin

Type: Order
Type: Order
Type: Order

Kim Wadhwani

Type: Order
Type: Order
Type: Order

Leonard Waddingham

Maitland Capital Ltd.

Saul Messinger

Type: Order
Type: Order

Steve Lanys

Type: Order
Type: Order

Alan Marsh Shuman

Type: Notice of Hearing
Type: Statement of Allegations

First Global Ventures S.A.

David Baskin

Type: Consent Order

Alain Brien

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

Hanoch Ulfan

Type: Order