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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

Between
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1316 Result(s)

Shaker Management Group Inc.

Type: Settlement Agreement

Locate Technologies Inc.

Type: Order
Type: Order
Type: Order
Type: Order
Type: Notice of Hearing of Motion

Tubtron Controls Corp.

Type: Order
Type: Order
Type: Order
Type: Order
Type: Notice of Hearing of Motion

Donszelmann, Rebekah

Type: Statement of Allegations

Hoffer, Mayer

Type: Notice of Hearing

Mallett, George Wayne

Type: Notice of Hearing

Medoff, Ronald A.

Type: Notice of Hearing

St. Clair Research Associates Inc.

Type: Notice of Hearing

Villabar Real Estate Inc.

Type: Notice of Hearing

Weeres, Steven Vincent

Type: Statement of Allegations

Briand, Craig D.

Type: Order
Type: Settlement Agreement
Type: Notice of Settlement Hearing

Keybase Financial Group Inc.

Type: Reasons for Decisions
Type: Reasons for Decisions
Type: Order
Type: Order

Sellars, James Edward

Type: Reasons for Decisions
Type: Reasons for Decisions
Type: Order
Type: Order

S & L Transactions Limited

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Saintonge, Aline

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Saintonge, Robert

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Bosse, Jules

Type: Statement of Allegations

Emond, Pierre

Type: Statement of Allegations

Limpert, David

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

WFG Securities of Canada Inc.

Type: Order
Type: Notice of Settlement Hearing
Type: Settlement Agreement

Andrew, John

Type: Reasons for Decisions
Type: Order

Ayuso Loyo, Roger Fernando

Type: Reasons for Decisions
Type: Order

Black Gold International Ltd.

Type: Reasons for Decisions
Type: Order

Couch, Jeanette Cleone

Type: Reasons for Decisions
Type: Order

Friesen, Kelly

Type: Reasons for Decisions
Type: Order

Hawaii Fund

Type: Reasons for Decisions
Type: Order

Helmig, Renee Marie (aka Nisha Helmig)

Type: Reasons for Decisions

Hemingway, Alan

Type: Reasons for Decisions
Type: Order

L&B Landbanking Trust S.A. DE C.V.

Type: Reasons for Decisions
Type: Order

Landbankers International MX, S.A. DE C.V.

Type: Reasons for Decisions

Maples and White Sands Investment Ltd.

Type: Reasons for Decisions

McAdam, Sonja A.

Type: Reasons for Decisions
Type: Order

Moore, Ed

Type: Reasons for Decisions
Type: Order

Moore, Kim

Type: Reasons for Decisions
Type: Order

Morgan, Gavin

Type: Reasons for Decisions
Type: Order

O'Neill, Kerry John

Type: Reasons for Decisions
Type: Order

Oil International, LLC.

Type: Reasons for Decisions
Type: Order

Rogers, Jason

Type: Reasons for Decisions
Type: Order

Shire Asset Management Ltd.

Type: Reasons for Decisions
Type: Order

Shire International Real Estate Investment Ltd.

Sierra Madre Holdings MX, S.A. DE C.V.

Type: Reasons for Decisions

Trinidad Oil and Gas Corporation

Type: Reasons for Decisions
Type: Order

Urrutia, Dave

Type: Reasons for Decisions
Type: Order

Zacarias (aka Wolf Zacarias), Brian J.

Type: Reasons for Decisions

Briand, Harrison & Associates Corporation

Type: Notice of Settlement Hearing
Type: Settlement Agreement

Harrison, Stephen V.

Type: Order
Type: Settlement Agreement
Type: Notice of Settlement Hearing