Government of New Brunswick
New Brunswick Securities Commission
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(March, 1999 - July, 2010)
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Total 119 record(s) found
WFG Securities fined for unregistered office in Fredericton (10/06/24)
New Brunswickers encouraged to report financial abuse of seniors (10/06/15)
Investor alert: online dating investment fraud (10/06/09)
Youth take the challenge to become financially fit (10/05/26)
Penalties ordered for two Fredericton-area persons (10/04/20)
Securities regulator takes action on purported Texas Oil & Gas scheme (10/04/20)
Alberta real estate investment companies banned (10/04/09)
Two British Columbia residents banned from securities industry (10/04/06)
Fraud prevention exhibit in Saint John (10/03/16)
Small business tax credit seminars offered (10/03/10)
March is Fraud Prevention Month (10/03/01)
Investor alert: Genius Funds (10/02/17)
Illegal distributions and registrant misconduct top 2009 complaints list (10/02/05)
Stock exchange information seminar to be held in Saint John (10/01/22)
Bradley Andrew Murray banned from trading in securities (10/01/15)
Volunteer centre receives funding for fraud prevention program (10/01/11)
Third annual white collar crime symposium held (09/12/04)
Investor alert: oil and gas developments in Texas (09/11/27)
Investor alert: land-banking scheme based in Mexico (09/11/13)
Investor alert: Intercontinental Trading Group S.A., Ron Wallace and Gary McCory (09/11/06)
Investor alert: Sung Wan "Sean" Kim and Cirplus Futures Inc. (09/10/16)
Parents get new guide to help youth make smart money choices (09/10/14)
New Brunswickers need to take action for their financial future (09/10/05)
Investigation into illegal distributions is ongoing (09/09/30)
Securities commission details top investor traps for 2009 (09/09/18)
Canadian securities regulators stress suitability requirements for dealers, advisers (09/09/02)
Securities commission calls hearing for salespersons connected to alleged illegal distribution of securities (09/08/28)
Canadian securities regulators outline requirements for exempt market dealers (09/08/11)
REVISED / CTIC, CITCAP seek bankruptcy protection (09/07/02)
Ontario mutual funds dealer failed to properly supervise sales staff (09/05/27)
Saint John salesperson banned from capital markets for 10 years (09/05/21)
Fredericton-based stock promoters ordered to pay penalty (09/04/23)
Quebec company admits to wrongdoing (09/04/20)
Political journalist John Ibbitson to speak at Fullsail Summit 2009 (09/04/16)
New Brunswick Securities Commission announces winner in Financial Fitness Challenge (09/04/14)
Quebec company allegedly offered securities illegally in New Brunswick (09/03/19)
March is Fraud Prevention Month (09/03/03)
Investor alert / Strategic Energy Partners banned from New Brunswick capital markets (09/02/25)
Securities Commission announces Peter Schiff as keynote speaker for Fullsail Summit (09/02/19)
Penalty ordered for Ontario dealer who offered illegal commissions (09/02/18)
Youth invited to participate in online Financial Fitness Challenge (09/02/13)
Securities regulator took action to protect investors in 2008 (09/01/29)
Investment fraud a reality in New Brunswick (09/01/23)
Public hearing into alleged misrepresentations (08/12/05)
Conditions placed on mutual funds dealer Legacy Associates Inc. (08/11/14)
Stock promoter's failure to comply with Securities Act results in penalties (08/11/05)
Investor alert: Cease trade order issued against First Alliance Management (08/10/29)
New Brunswicker's tip leads to cease trade order (08/10/28)
Short-selling temporarily prohibited (08/09/22)
Investors in Locate Technologies and Tubtron Controls have opportunity for refund (08/09/05)
Sanctions imposed on securities salesperson (08/08/29)
New members appointed to the New Brunswick Securities Commission (08/08/22)
Securities commission levies penalty against owner of pyramid scheme (08/08/08)
Temporary cease-trade order issued against Adis Golic, Adcapital Industries Inc., and AD Capital U.S. Inc. (08/08/06)
Commission levies $248,033 in penalties and costs (08/06/17)
Temporary cease trade-order / Goldpoint Resources Corporation (08/05/14)
Securities Commission joins Council of Securities Regulators of the Americas (08/06/07)
NBSC approves settlement with N.B. residents involved in Wealth Pools investment scheme (08/04/21)
NBSC works to increase financial literacy among NB youth with Financial Fitness Challenge (08/04/21)
National media personalities arriving for Fullsail Summit (08/04/03)
March is Fraud Awareness Month (08/02/28)
N.B. Securities Commission invites students and teachers to take part in 'Financial Fitness Challenge' contest (08/02/06)
Investment fraud on rise in New Brunswick (08/01/25)
Securities Commission issues notice of hearing (08/01/15)
Investor alert / Heartford Capital Management (07/11/09)
Cease-trade order granted / Locate Technologies Inc., Tubtron and others (07/10/18)
Study shows damage done by investment fraud goes beyond victims' bank accounts (07/10/03)
Investor alert / Temporary cease-trade orders issued (07/09/26)
Cease-trade order sought against Locate Technologies Inc., Tubtron and others (07/09/25)
Securities Commission assesses penalties totalling $350,000 in Limelight case (07/08/23)
Investor alert / Permanent cease-trade order issued against Meisner Inc. S.A. (07/08/15)
Investor alert / Cease-trade orders issued (07/07/31)
Commission releases progress report on capital market development in New Brunswick (07/07/25)
Investor alert / Temporary cease-trade order issued against Saxon Financial Services Ltd. and others (07/07/13)
Report identifies state of private investing in Atlantic region (07/06/15)
Legislative changes to make Securities Act more effective (07/06/15)
Commission approves settlement with Baskin Financial Services Inc. (07/05/03)
N.B. Securities Commission wants feedback on proposed registration system overhaul (07/04/05)
N. B. Securities Commission announces launch of Financial Fitness Challenge (07/04/05)
N.B. Securities Commission releases report following Fullsail Summit (07/03/21)
Securities Commission bans James K. Hanley (07/03/05)
Permanent cease-trade orders issued against Jabez Financial Services Inc. (07/02/02)
Fullsail Summit to foster capital market growth strategy for New Brunswick (07/01/26)
Commission receives national award (06/12/01)
Results of study on New Brunswick investors (06/11/08)
Securities Commission issues notice of hearing in James K. Hanley matter (06/11/02)
NBSC uncovers investment scheme, issues cease-trade (06/10/31)
Date change for Fullsail Summit - Jan. 28-30 (06/10/25)
Investor Education Month / NBSC warns of investor traps (06/10/19)
DATE CHANGE / Securities Commission to host summit Jan. 28 - 30 (/06/09/29)
Maitland hearing adjourned / temporary cease-trade order extended (06/08/30)
New Brunswick Securities Commission bans four parties from trading securities (06/06/30)
Permanent cease-trade orders issued against Leonard Waddingham and Hanoch Ulfan (06/05/26)
Securities commission issues investment-scam warning (06/05/24)
Temporary cease-trade order issued against First Global Ventures S.A. (06/05/12)
Commission orders permanent cease-trade order against Limelight Entertainment (06/04/27)
Securities commission approves settlement agreement with Alain Brien (06/04/27)
Temporary cease trade order issued against Limelight Entertainment (06/04/12)
Temporary cease trade order issued against Maitland Capital Ltd. (06/04/04)
Securities commission supports upcoming Atlantic Angel Summit (06/03/21)
Online quiz teaches New Brunswick students benefits of budgeting, saving and investing (06/03/20)
N.B. Securities Commission approves settlement agreement with Investors Group (06/02/02)
Securities Commission begins roundtable dialogues (06/01/11)
Securities Commission launches Capital Pool Company program (05/10/27)
NBSC becomes principal regulator under new national harmonized securities rule (05/09/19)
Securities Commission advises investors to beware of hurricane-related scams (05/09/16)
OptionsXpress Inc. settlement agreement approved (05/09/08)
New Brunswick Securities Commission suspends Lacroix (05/09/02)
N. B. Securities Commission sanctions Fundy Minerals Ltd. (05/07/20)
Breakfast with a smile: Advice on accessing capital (05/05/30)
N.B. Securities Commission issues cease trade order against Fundy Minerals Ltd. (05/05/18)
Securities Commission extends order against Portus Alternative Asset Management Inc. (05/05/18)
New Brunswick teens can test their financial IQ (05/02/28)
Securities Commission issues ban against Mark Valentine (05/02/21)
Securities Commission fines Manulife Securities International Inc. (05/02/18)
Securities Commission issues order against Portus Alternative Asset Management Inc. (05/02/15)
Securities Commission issues temporary order against Portus Alternative Asset Management Inc. (05/02/02)
New Brunswick Securities Commission opens for business (04/07/05)
New securities legislation introduced (04/04/20)
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