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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
TO
1316 Result(s)

Drever, Lorne

Type: Order
Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Reasons for Decisions
Type: Second Amended Statement of Allegations

Locate Technologies Inc.

Type: Order
Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Reasons for Decisions
Type: Second Amended Statement of Allegations
Type: Notice of Hearing

Nason, Donald

Type: Order
Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Order
Type: Reasons for Decisions
Type: Settlement Agreement
Type: Second Amended Statement of Allegations

Niles, Harry

Type: Order
Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Order
Type: Reasons for Decisions
Type: Settlement Agreement
Type: Second Amended Statement of Allegations

Tubtron Controls Corp.

Type: Order
Type: Reasons for Decisions
Type: Order
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Settlement Agreement
Type: Reasons for Decisions

706166 Alberta Ltd.

Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Order
Type: Reasons for Decisions
Type: Settlement Agreement
Type: Second Amended Statement of Allegations

Bradley Corporate Services Ltd.

Type: Reasons for Decisions
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Settlement Agreement
Type: Reasons for Decisions
Type: Second Amended Statement of Allegations

Cody, Michael

Type: Reasons for Decisions
Type: Order
Type: Order
Type: Second Consolidated and Amended Notice of Hearing
Type: Reasons for Decisions
Type: Settlement Agreement
Type: Second Amended Statement of Allegations

Centre de Traitement d'Information de Credit (C.T.I.C. Inc) DBA as Groupe Financier CTIC

CITCAP Groupe Financier Inc.

Type: Motion

Gauthier, Patrick

Type: Motion

Palmer, Jim

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

Strategic Energy Partners

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

Anderson, Jack

Type: Motion

Black, Robert

Type: Motion

Corcoran, Jim

Type: Motion

Goldpoint Resources Corporation

Type: Motion

Moloney, Brian

Type: Motion

Novielli, Lino

Type: Motion

Tomeli, Evanna

Type: Motion

Wylie, Richard

Type: Motion

Park, Sang

Type: Reasons for Decisions

Mallett, George Wayne

Type: Order
Type: Amended and Consolidated Notice of Hearing of Motion
Type: Notice of Hearing of Motion
Type: Motion

Berrie White Capital Corporation

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

White, Matthew

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

First Alliance Management Inc.

Type: Reasons for Decisions
Type: Cease Trade Order
Type: Ex-parte Temporary Order
Type: Notice of Hearing

Freedman, Ted

Type: Reasons for Decisions
Type: Cease Trade Order
Type: Notice of Hearing
Type: Ex-parte Temporary Order

Legacy Associates Inc.

Type: Order
Type: Settlement Agreement