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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)

Tubtron Controls Corp.

Type: Second Amended Statement of Allegations
Type: Notice of Hearing
Type: Order
Type: Order
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

White, Matthew

Type: Notice of Hearing
Type: Statement of Allegations

First Alliance Management Inc.

Type: Statement of Allegations

Freedman, Ted

Type: Statement of Allegations

Global Energy Group Ltd.

Type: Reasons for Decisions
Type: Order

New Gold Limited Partnerships

Type: Reasons for Decisions
Type: Order

Berrie White Capital Corporation

Type: Statement of Allegations

Legacy Associates Inc.

Type: Notice of Hearing
Type: Statement of Allegations

Bradley Corporate Services Ltd.

Type: Notice of Hearing
Type: Notice of Hearing
Type: Order
Type: Order
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

706166 Alberta Ltd.

Type: Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Cody, Michael

Type: Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Drever, Lorne

Type: Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Nason, Donald

Type: Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Niles, Harry

Type: Notice of Hearing
Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Aurora Escrow Services LLC

Type: Reasons for Decisions
Type: Order

Global Petroleum Strategies LLC

Type: Reasons for Decisions
Type: Order

Kimmel Jr., Roger A.

Type: Reasons for Decisions
Type: Order

Petroleum Unlimited LLC

Type: Reasons for Decisions
Type: Order

Malsbury Investment Corporation

Type: Reasons for Decisions
Type: Order

Malsbury, Shayne Lorne

Type: Reasons for Decisions
Type: Order

Locate Technologies Inc.

Type: Order
Type: Settlement Agreement
Type: Amended Statement of Allegations

Park, Sang

Type: Order
Type: Settlement Agreement

Ad Capital U.S. Inc.

Type: Reasons for Decisions

AdCapital Industries Inc.

Type: Reasons for Decisions
Type: Order

Golic, Adis

Type: Reasons for Decisions
Type: Order

Fulton, Ronald J.

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

Lane, Robert E.

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

Oagles, James H.

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

Tracy, Jeannie

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

Wealth Pools International Inc.

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

Ad Capital U.S. Inc.

Type: Order

Anderson, Jack

Type: Order
Type: Order

Black, Robert

Type: Order
Type: Order

Corcoran, Jim

Type: Order
Type: Order

Goldpoint Resources Corporation

Type: Order
Type: Order

Moloney, Brian

Type: Order
Type: Order

Novielli, Lino

Type: Order
Type: Order

Tomeli, Evanna

Type: Order

Wylie, Richard

Type: Order

First Global Ventures S.A.

Type: Decision on Administrative Penalties and Costs

Grossman, Al

Type: Decision on Administrative Penalties and Costs

Marsh Shuman, Alan

Type: Decision on Administrative Penalties and Costs