BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re EagleMark Ventures, 2018 BCSECCOM164 Date:
|
|
- Jesse Singleton
- 5 years ago
- Views:
Transcription
1 BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re EagleMark Ventures, 2018 BCSECCOM164 Date: EagleMark Ventures, LLC, Falcon Holdings, LLC, Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller Panel George C. Glover, Jr. Commissioner Gordon Holloway Commissioner Don Rowlatt Commissioner Submissions Completed April 17, 2018 Decision date May 22, 2018 Appearances Olubode Fagbamiye Enna M. Keller For the Executive Director For herself Ruling I. Introduction A. Background [1] The applicant, Enna M. Keller (Keller), made an application dated February 11, 2018 under section 171 of the Act to revoke the Commission s decision dated February 14, 2017 in Re EagleMark, 2017 BCSECCOM 42 (Decision). This initial application was supplemented by further submissions dated March 15, We refer to the initial application and supplemental submissions collectively as the application. The Decision incorporated the panel s Findings dated August 22, 2016 in Re EagleMark, 2016 BCSECCOM 288 and the sanctions decision, cited above, which imposed market bans and financial penalties on the respondents [2] The heading to Keller s application states that it is filed by Richard Lian and Enna M. Keller to request that the Section 161(1)(g) and section 162 order be lifted and revoked. At the hearing management meeting regarding the application, Keller, who was present at the meeting by telephone, confirmed that the intent of the application was to have us revoke our Decision in its entirety, including the Findings and all of the sanctions. For the purposes of this Ruling, we have treated the application as seeking to revoke our Decision in its entirety as it relates to all of the respondents. [3] At the hearing management meeting, the panel chair reminded Keller that the purpose of a section 171 application is not to rehear the matter and reiterate arguments that were already considered by the panel in the Decision, but to consider whether there was new and compelling evidence or a significant change in circumstances. Keller was afforded
2 the opportunity to provide the Commission with any new and compelling evidence or evidence of any significant change in circumstances. Keller filed the further submissions referred to in paragraph 1, after the hearing management meeting. B. Findings [4] In our August 22, 2016 Findings, the panel found that each of the respondents contravened the Act as follows: a) Lian and Keller committed fraud in the amount of US$2.4 million on 315 investors contrary to section 57(b) of the Act; b) Lian, Keller, EagleMark Ventures, LLC (EagleMark) and Falcon Holdings, LLC (Falcon) each contravened a Cease Trade Order (CTO) and a Temporary Order (TO); and c) Keller contravened section 34 of the Act by trading in securities without registration and without any available exemptions. C. Sanctions [5] In our February 14, 2017 Decision, the panel ordered the following: a) With respect to Lian: i. permanent orders under sections 161(1)(b),(c) and (d)(i) through (v); ii. an order under section 161(1)(g) to pay US$2.4 million to the Commission; and iii. an order to pay US$2.4 million to the Commission as an administrative penalty under section 162. b) With respect to Keller: i. permanent orders under sections 161(1)(b),(c) and (d) (i) through (v); and ii. an order to pay US$2.4 million to the Commission as an administrative penalty under section 162. c) With respect to EagleMark and Falcon: i. permanent orders under sections 161(1)(b), (c) and (d) (iii) and (v); and ii. an order to pay US$2.4 million to the Commission under section 161(1)(g). [6] Lian, EagleMark and Falcon were also jointly and severally liable to pay the US$2.4 million set out in the section 161(1)(g) orders against each of them respectively. D. Subsequent Commission order [7] On January 15, 2018, the Commission, on its own motion and considering that it would not be prejudicial to the public interest to do so, under section 171 of the Act, varied our Decision by staying the section 161(1)(g) orders against EagleMark and Falcon and the joint and several section 161(1)(g) order against Lian, EagleMark and Falcon. 2
3 II. Applicable Law [8] Section 171 of the Act states: If the commission considers that to do so would not be prejudicial to the public interest, the commission.may make an order revoking in whole or in part or varying a decision the commission has made under this Act, whether or not the decision has been filed under section [9] BC Policy Hearings sets out procedures for hearings under the Act. Section 8.10(a) provides guidance based on the Act and caselaw, on revoking or varying a decision. It states: (a) Discretion to revoke or vary- A party may apply to the Commission for an order revoking or varying a decision. Generally, the Commission does not hold a hearing; it considers written submissions and makes its decision. Before the Commission changes a decision, it must consider that it would not be prejudicial to the public interest. This usually means that the party must show the Commission new evidence or a significant change in circumstances. [10] Section 167(1) of the Act states that: A person directly affected by a decision of the commission may appeal to the Court of Appeal with leave of a justice of that court. III. Submissions A. Applicants Submissions [11] The applicants submissions consist of the application and several attachments. The applicants did not submit any additional oral or affidavit evidence. None of the documents attached to the application is supported by sworn testimony or affidavits. The application also contains a link to a website for a Nevada company, Lexicon Building Products and Systems Inc. (Newco). The documents attached to the application include a photocopy of an unsigned form letter (Shareholder/Lender Letter) dated 13 March 2017 purporting to be signed by Shareholder and/or Lender and addressed to the panel chair. The other documents attached to the application were photocopies of: A Decree Closing Case dated September 28, 2011 regarding a Plan of Reorganization of Lexicon Building Systems, Ltd. (the company referred to in our Decision as Lexicon); A document entitled SHAREHOLDERS COMPLAINTS SUBMITTED ON BEHALF OF THE SHAREHOLDERS OF [Lexicon] dated October 30, 2009 Two share certificates of Newco dated the 10 th day of August 2017 in the names of LS and M-YK, each for 110,000 shares; An dated December 8, 2017 (the December ) to counsel to the Commission responding to a letter from that counsel dated November 29, 2017; and A Requisition - General dated January 24, 2018 and Notice of Application both filed by Commission counsel seeking enforcement of the monetary penalty imposed on Keller by our Decision. 3
4 [12] In the Shareholder/Lender Letter, reference was made to a raft of complaint letters to the Ombudsperson. The Shareholder/Lender Letter states that The Shareholders considered that the Ombudsperson did not have the will or the authority to pursue this complaint on their behalf. In the December , Keller refers to an appeal of this administrative matter to the Supreme Court of British Columbia but goes on to state that, due to Lian s health issues, the appeal process has not be (sic) initiated, but is forthcoming. [13] Turning to the submissions in the application, the majority of submissions consist of bald assertions challenging the Decision on virtually all aspects of the Findings. The following are typical examples: No trading in securities, No Scheme, No Fraud No Restrictions attached to the funds (loans) received Lian had absolute discretion for use/application of funds. There were no investors, as there were no demand loans/notes. Lian and Keller did not raise any money by their TO [temporary order]. Keller did not breach section 34 of the Act for (sic) trading in securities. Lian and Keller did not violate any the (sic) CTO [cease trade order] or the TO there was no harm done to the public, as there was no scheme or fraud committed. [14] The submissions reiterate arguments previously considered by the panel in the Decision, including that there were few complaints by any investors, and repeat arguments that the Commission allegedly: failed to respond to a filing for approval of a Loan Offering Memorandum regarding Lexicon, failed to follow up upon a complaint made in 2009 regarding alleged misconduct by Lexicon management at the time, and misled the public in believing that Lian and his corporations and Keller were fraudsters and operating under an illegal scheme to defraud the public by going public with their unproven allegations and press releases, using their power to confuse the public. [15] The application does, however, refer to two new circumstances that occurred after the issuance of our Decision. First, the applicants submit that Lexicon is now a dissolved company and is worthless, and all its investors[ ] holdings in the company is (sic) worthless. Secondly, the application states that a new company [Newco] (is) Registered in Las Vegas, Nevada, USA incorporated under the laws of the State of Nevada. [16] Photocopies of the Newco share certificates in the names of LS and M-YK were submitted in support of the statement that LS, who was an investor in the Friends and Family Program (FFP), in fact did receive something to evidence his unrestricted private loan. The application submits that Lian and corporate (sic) 4
5 after their investigation into [Lexicon s] status took their investment of support to [Newco].[Newco] has the rights to the Polyblock. As identified in our Decision, the Polyblock was the principal product and business opportunity for Lexicon. [17] Finally, the application states that: The unrestricted private funds loaned to Lian and corporate (sic) have now been pledged with the approval of all lenders of record into [Newco]. All lenders of record have been issued and received their certificates as per their request on record. None of these lenders have (sic) lost their private funds loaned to Lian and corporate (sic). [... ] At the time of the liability and sanctions hearing or time of the Decision, had the [Commission] known that Lian and corporate (sic) had discontinued their investment into the Lexicon of BC company (sic); and were making their unrestricted private prior loans in NEWCO USA to secure their loans of record; the [Commission] Decision would have been different. B. Executive Director s Submissions [18] The Executive Director submitted his response in writing after receiving the applicants initial application. After receiving the applicants subsequent submissions, the Executive Director declined to make any further response other than to state that: The [applicants] have not identified new and compelling evidence or a significant change of circumstances and they have not met the onus of establishing that the revocation of the Decision that it seeks would not be prejudicial to the public interest. [19] The Executive Director submits that the applicants have not shown that the panel, had we known the information set out in the application when we issued our Decision, would have made a different decision. [20] Further, the Executive Executor states that, given the absence of sworn testimony and documents supported by affidavits, he had no opportunity to test the submissions in the application or determine their relevance to the applicants arguments. He asserts that many of the submissions of the applicants relate to documents and events that were in existence and known to the applicants at the time of the hearings. He says the application restates arguments and submissions that the panel previously considered and rejected in its Decision, and the proper forum for arguments to overturn findings or sanctions based on the existing record is the BC Court of Appeal. [21] The Executive Director finally asserts that the applicants misconduct was serious and they are not fit to participate in the capital markets or to serve as directors, officers or advisors to issuers. He says the applicants have shown no remorse but rather minimize their conduct and blame others, thus reinforcing the prejudice to the public interest in revoking our Decision. 5
6 IV. Analysis and decision [22] A section 171 application is not an opportunity to appeal a decision of the Commission. The process to appeal a Commission decision to the Court of Appeal is outlined in section 167(1) of the Act. It is clear from the Shareholder/Lender Letter and the December that Keller was aware of the opportunity to appeal our Decision. [23] Numerous previous decisions of the Commission have confirmed the limited circumstances in which the Commission will revoke or vary one of its decisions. [24] For example, in Re Pyper, 2004 BCSECCOM238, the Commission panel stated that for an application under section 171 to succeed, the applicant must show new and compelling evidence or a significant change in circumstances, such that, had the panel known them at the time of issuing the original decision, they would have made a different decision. Similarly, in Re McIntosh, 2015 BCSECCOM 162, the Commission panel stated at paragraph 12: Section 171 of the Act does not provide an unfettered opportunity for a respondent to relitigate the liability or sanctions portion of an enforcement hearing. A party seeking a variation must meet the threshold outlined in s. 8.10(a) of BC Policy , and identify new evidence, or a significant change in circumstances, before the commission will change a decision. [25] With the exception of the submissions relating to Lexicon and Newco summarized in paragraphs [15-17] above, none of the applicants submissions contain any new information. To the contrary, the information that was contained in the submissions was before the panel at the liability and sanctions hearings. 1 As well as not being new information, none of this information was in any way compelling, and was rejected by the panel as either irrelevant or unpersuasive. None of this information affected our Decision at that time nor would affect our decision on this application. [26] Turning to the information relating to Lexicon s dissolution and Newco, this information is clearly new as it relates to events and circumstances which occurred after we issued our Decision. [27] Panels on an application to revoke or vary a previous order often take a restrained approach in exercising their discretion to allow evidence to be tendered that was not available at the time of the original hearing. However, we are willing to consider the circumstances regarding Lexicon and Newco in this matter to determine whether it constitutes compelling evidence. [28] None of the information regarding Lexicon or Newco that arose after our Decision affects in any way our liability Findings. The information regarding Newco has no bearing on the fraudulent misconduct of Keller and Lian, the breaches of the CTO and TO by all respondents and the breaches by Keller of section 34 through her unregistered trading. 1 See paragraphs 64 to 69 of the Findings and paragraphs 9 to 16 of the Decision. 6
7 Similarly, the dissolution of Lexicon has no bearing on our Findings on liability, other than to confirm that the investors expectations of receiving shares of Lexicon, which might at some time have some value, were thwarted. [29] Accordingly, we find no basis for revoking or varying our Findings on liability based on the new information regarding the dissolution of Lexicon or regarding Newco and we dismiss the application as it relates to our liability Findings. [30] We now turn our analysis to the issue whether the information regarding Lexicon s dissolution or regarding Newco would affect our sanctions orders. [31] As set out in the Decision, we found that Keller and Lian s fraudulent misconduct involved US$3.2 million in funds raised of which US$2.4 million was almost entirely spent by Lian on matters that had no relation to the representations made to the investors. This misconduct took place over several years and was exacerbated by frequent false and misleading communications to investors and prospective investors. All of the respondents breached both the CTO and TO. Keller engaged in multiple trades in securities without being registered under the Act and without the availability of any exemptions. The serious sanctions imposed on the applicants at the time of the Decision were in the public interest, given the magnitude and persistence of the applicants misconduct and the need to deter similar misconduct in future by both the applicants as well as others. [32] At best, the applicants submissions are that the new information regarding Newco undermines our finding that FFP participants funds had been dissipated with substantial risk that they were lost permanently. 2 The applicants say that Newco has rights to the Polyblock and the unrestricted private funds loaned to Lian and corporate (sic) have now been pledged to [Newco]. The applicants conclude that all lenders of record have been issued and received their certificates as per their request on record. [33] Nothing in this submission demonstrates that our Findings regarding fraud, breaches of the CTO and TO and Keller s illegal trading activities were incorrect at the time of our Decision. If the new information regarding Newco constituted compelling evidence that the FFP investors had received repayment of their investments in whole or in part, or indeed received anything of value from Newco, that might be a basis for considering varying our sanctions under section 161(1)(g). However, the new information regarding Newco falls far short of compelling us to revoke or vary any of our sanctions. [34] Ignoring the frailty of the Newco information regarding its credibility and reliability, there is no evidence that the FFP investors have received repayment in whole or in part or anything of value. There is no evidence that the Newco shares have any value and there is no evidence of how pledging the unrestricted private loans to Newco could be of any value to the FFP investors. Further, it is unclear that all of the defrauded FFP investors received any Newco shares. The statement that Lexicon is dissolved and worthless, as 2 Findings para. 95 7
8 are the investments in Lexicon, does not support the applicants position as the intent of the FFP investors was to obtain shares of Lexicon- not Newco- when Lexicon s legal impediments were eliminated. [35] We find that there is no evidence from the new information regarding Newco or the dissolution of Lexicon that would compel us to make an order varying or revoking the sanctions in our Decision and we dismiss the application as it relates to sanctions. [36] The applicants have not provided any new and compelling evidence, or shown any significant change in circumstances, which could lead us to conclude that it would not be prejudicial to the public interest to revoke or vary our Decision either as to liability or sanctions. [37] Accordingly, we dismiss the application. We note that our decision to dismiss the application does not affect the stay order regarding the section 161(1)(g) orders referred to in paragraph [7] above. May 22, 2018 For the Commission: George C. Glover, Jr. Commissioner Gordon Holloway Commissioner Don Rowlatt Commissioner 8
IN THE MATTER OF EAGLEMARK VENTURES, LLC, FALCON HOLDINGS, LLC, RICHARD LIAN (also known as RICHARD TERRY RUUSKA) and ENNA M.
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF EAGLEMARK
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Spangenberg, 2016 BCSECCOM 180 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Spangenberg, 2016 BCSECCOM 180 Date: 20160531 John Johny JFA Ferdinand Alexander Spangenberg, Odyssey Renewable Growth
More information2011 BCSECCOM 289. Royal Crown Ventures Group Ltd. and Thomas Joseph Sears. Securities Act, RSBC 1996, c Hearing. Decision
Royal Crown Ventures Group Ltd. and Thomas Joseph Sears Securities Act, RSBC 1996, c. 418 Hearing Panel Brent W. Aitken Vice Chair Don Rowlatt Commissioner Shelley C. Williams Commissioner Hearing dates
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Bai, 2018 BCSECCOM 60 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Bai, 2018 BCSECCOM 60 Date: 20180206 Roy Ping Bai, also known as Ping Bai, and RBP Consulting Panel Nigel P. Cave Vice
More informationRoberta Merlin McIntosh (aka Bert McIntosh, Roberta Sims, Roberta Butcher, and Roberta Mayer) Securities Act, RSBC 1996, c. 418.
Citation: 2015 BCSECCOM 69 Roberta Merlin McIntosh (aka Bert McIntosh, Roberta Sims, Roberta Butcher, and Roberta Mayer) Securities Act, RSBC 1996, c. 418 Hearing Panel Judith Downes Nigel P. Cave Christopher
More informationIN THE MATTER OF THE SECURITIES ACT, RSO 1990, c S.5 - AND - IN THE MATTER OF ROBERT BRUCE RUSH AND BREAKTHROUGH FINANCIAL INC.
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More information2010 BCSECCOM 357. Solara Technologies Inc. and William Dorn Beattie. Securities Act, RSBC 1996, c Hearing. William Dorn Beattie.
Solara Technologies Inc. and William Dorn Beattie Securities Act, RSBC 1996, c. 418 Hearing Panel Brent W. Aitken Vice Chair Bradley Doney Commissioner Shelley C. Williams Commissioner Hearing Date June
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationBRITISH COLUMBIA SECURITIES COMMISSION Section 171 of the Securities Act, RSBC 1996, c. 418
BRITISH COLUMBIA SECURITIES COMMISSION Section 171 of the Securities Act, RSBC 1996, c. 418 Citation: Re Flexfi Inc., 2018 BCSECCOM 374 Date: 20181128 Flexfi Inc. (formerly known as CC Cornerstone Credit
More informationIN THE MATTER OF LARRY KEITH DAVIS. REASONS AND DECISION (Subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5)
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen ouest Toronto ON M5H 3S8 Citation: Davis (Re), 2019
More informationIN THE MATTER OF VOLKMAR GUIDO HABLE. REASONS AND DECISION (Subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5)
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen ouest Toronto ON M5H 3S8 Citation: Hable (Re), 2018
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Malone, 2016 BCSECCOM 257 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Malone, 2016 BCSECCOM 257 Date: 20160803 William Raymond Malone Panel Nigel P. Cave Vice Chair George C. Glover, Jr.
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Flexfi Inc., 2018 BCSECCOM 166 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Flexfi Inc., 2018 BCSECCOM 166 Date: 20180524 Flexfi Inc. (formerly known as CC Cornerstone Credit Ltd.) and Afshin
More informationJV Raleigh Superior Holdings Inc., Maisie Smith (aka Maizie Smith) and Ingram Jeffrey Eshun. Securities Act, RSBC 1996, c. 418.
Citation: 2012 BCSECCOM 492 JV Raleigh Superior Holdings Inc., Maisie Smith (aka Maizie Smith) and Ingram Jeffrey Eshun Securities Act, RSBC 1996, c. 418 Hearing Panel Brent W. Aitken Vice Chair Bradley
More informationMichael Patrick Lathigee and Earle Douglas Pasquill, FIC Real Estate Projects Ltd., FIC Foreclosure Fund Ltd., WBIC Canada Ltd.
Citation: 2015 BCSECCOM 78 Michael Patrick Lathigee and Earle Douglas Pasquill, FIC Real Estate Projects Ltd., FIC Foreclosure Fund Ltd., WBIC Canada Ltd. Securities Act, RSBC 1996, c. 418 Hearing Panel
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Hable, 2017 BCSECCOM 340 Date: Volkmar Guido Hable
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Hable, 2017 BCSECCOM 340 Date: 20171107 Volkmar Guido Hable Panel Nigel P. Cave Vice Chair Don Rowlatt Commissioner
More information2010 BCSECCOM 181. For Severstal Gold NV and Bluecone Limited. Endeavour Financial Luxembourg SARL, Endeavour Financial Corporation
Severstal Gold NV, Bluecone Limited, Endeavour Financial Luxembourg SARL, Endeavour Financial Corporation and Crew Gold Corporation Securities Act, RSBC 1996, c. 418 Panel Brent W. Aitken Vice Chair Don
More informationWon Sang Shen Cho, also known as Craig Cho, d.b.a. Chosen Media and Groops Media. Securities Act, RSBC 1996, c Hearing
British Columbia Securities Commission Citation: 2013 BCSECCOM 300 Won Sang Shen Cho, also known as Craig Cho, d.b.a. Chosen Media and Groops Media Securities Act, RSBC 1996, c. 418 Hearing Panel Brent
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Oei, 2018 BCSECCOM 231 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Oei, 2018 BCSECCOM 231 Date: 20180808 Paul Se Hui Oei, Canadian Manu Immigration & Financial Services Inc., 0863220
More informationREASONS AND DECISION
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationWeiqing Jane Jin. Securities Act, RSBC 1996, c Hearing. Panel Judith Downes Commissioner George C. Glover, Jr. Commissioner
Citation: 2014 BCSECCOM 424 Weiqing Jane Jin Securities Act, RSBC 1996, c. 418 Hearing Panel Judith Downes Commissioner George C. Glover, Jr. Commissioner Hearing Date October 1, 2014 Submissions completed
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Poonian, 2018 BCSECCOM 160 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Poonian, 2018 BCSECCOM 160 Date: 20180516 Thalbinder Singh Poonian, Shailu Sharon Poonian, Manjit Singh Sihota and
More information2007 BCSECCOM 773. Hearing. James Terrence Alexander, Anne Christine Eilers and JT Alexander and Associates Holding Corporation
Hearing James Terrence Alexander, Anne Christine Eilers and JT Alexander and Associates Holding Corporation Sections 161(1) and 162 of the Securities Act, RSBC 1996, c. 418 Panel Robin E. Ford Commissioner
More informationIN THE MATTER OF MICHAEL PATRICK LATHIGEE, EARLE DOUGLAS PASQUILL, FIC REAL ESTATE PROJECTS LTD., FIC FORECLOSURE FUND LTD. and WBIC CANADA LTD.
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen oust Toronto ON M5H 3S8 Citation: Lathigee, Michael
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Tassone, 2018 BCSECCOM 212 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Tassone, 2018 BCSECCOM 212 Date: 20180703 Investment Industry Regulatory Organization of Canada and Alberto Tassone
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Tan, 2016 BCSECCOM 138 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Tan, 2016 BCSECCOM 138 Date: 20160429 Virginia Tan, Patrick Eng Tien Tan, Marcus Soon-Keen Tan, Michael Joseph Donelson,
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Sungro, 2015 BCSECCOM 281 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Sungro, 2015 BCSECCOM 281 Date: 20150708 Mark Aaron McLeary, Timothy John McLeary, Robert Hainey, Jerry Williams, and
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re TerraNova Partners LP, 2017 BCSECCOM 76 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re TerraNova Partners LP, 2017 BCSECCOM 76 Date: 20170228 TerraNova Partners LP, Aventine Management Group Inc., TSX Venture
More informationRe Jones. The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC)
IN THE MATTER OF: Re Jones The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC) and The By-Laws of the Investment Dealers Association of Canada (IDA) and Michael
More informationDISCIPLINE CASE DIGEST
DISCIPLINE CASE DIGEST Case 16-10 Member: Jurisdiction: James Graeme Earle Young Winnipeg, Manitoba Called to the Bar: June 16, 2005 Particulars of Charges: Professional Misconduct (11 Counts): Breach
More informationFor Saafnet Canada Inc., Nizam Dean, and Vikash. Securities Act, RSBC 1996, c Hearing
Citation: 2013 BCSECCOM 442 Saafnet Canada Inc., Nizam Dean, and Vikash Sami Securities Act, RSBC 1996, c. 418 Hearing Panel Brent W. Aitken Vice Chair Judith Downes Commissioner Suzanne K. Wiltshire Commissioner
More informationIN THE MATTER OF THE SECURITIES ACT, RSO 1990, c S.5. - and -
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE MATTER OF LANCE SANDFORD COOK and CBM CANADA S BEST MORTGAGE CORP.
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen ouest Toronto ON M5H 3S8 Citation: Cook (Re), 2018
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED AND
Ontario Commission des P.O. Box 55, 19 th Floor CP 55, 19e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationIN THE MATTER OF DENNIS L. MEHARCHAND and VALT.X HOLDINGS INC.
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue Queen Ouest Toronto ON M5H 3S8 Citation: Meharchand (Re),
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des P.O. Box 55, 22 nd Floor CP 55, 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationEnvironmental Appeal Board
Environmental Appeal Board APPEAL NO. 96/20 - WILDLIFE In the matter of an appeal under section 103 of the Wildlife Act, S.B.C. 1982, c.57. BETWEEN: Terry Shendruk APPELLANT AND: Deputy Director of Wildlife
More informationREAL ESTATE COUNCIL OF ONTARIO DISCIPLINE DECISION
REAL ESTATE COUNCIL OF ONTARIO DISCIPLINE DECISION IN THE MATTER OF A DISCIPLINE HEARING HELD PURSUANT TO BY-LAW NO. 10 OF THE REAL ESTATE COUNCIL OF ONTARIO John Van Dyk Respondent This document also
More informationIN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, c. S.5, AS AMENDED AND
IN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, c. S.5, AS AMENDED AND IN THE MATTER OF MOMENTAS CORPORATION, HOWARD RASH, ALEXANDER FUNT, SUZANNE MORRISON AND MALCOLM ROGERS REASONS AND DECISION REGARDING
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Nelson, 2016 BCSECCOM 50 Date: Doris Elizabeth Nelson
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Nelson, 2016 BCSECCOM 50 Date: 20160217 Doris Elizabeth Nelson Panel Suzanne K. Wiltshire Commissioner Judith Downes
More information2012 BCSECCOM 59. David Charles Greenway and Kjeld Werbes. Securities Act, RSBC 1996, c Hearing
David Charles Greenway and Kjeld Werbes Securities Act, RSBC 1996, c. 418 Hearing Panel Brent W. Aitken Vice Chair Kenneth G. Hanna Commissioner David J. Smith Commissioner Hearing date January 23, 2012
More information2011 BCSECCOM 197. Mutual Fund Dealers Association of Canada Tony Tung-Yuan Lin. Section 28 of the Securities Act, RSBC 1996, c.
Mutual Fund Dealers Association of Canada Tony Tung-Yuan Lin Section 28 of the Securities Act, RSBC 1996, c. 418 Hearing and Review Panel Brent W. Aitken Bradley Doney Don Rowlatt Vice Chair Commissioner
More informationForest Appeals Commission
Forest Appeals Commission Fourth Floor 747 Fort Street Victoria British Columbia V8W 3E9 Telephone: (250) 387-3464 Facsimile: (250) 356-9923 Mailing Address: PO Box 9425 Stn Prov Govt Victoria BC V8W 9V1
More informationIN THE MATTER OF THE SAFETY STANDARDS ACT SBS 2003, Chapter 39. AND IN THE MATTER OF an appeal to the British Columbia Safety Standard Appeal Board
Date Issued: July 4, 2011 File: SSAB 2-11 Indexed as: BCSSAB 2 (1) 2011 IN THE MATTER OF THE SAFETY STANDARDS ACT SBS 2003, Chapter 39 AND IN THE MATTER OF an appeal to the British Columbia Safety Standard
More informationFINANCIAL SERVICES TRIBUNAL
FST 05-018 FINANCIAL SERVICES TRIBUNAL IN THE MATTER OF THE MORTGAGE BROKERS ACT R.S.B.C. 1996, c. 313 AS AMENDED BETWEEN: JOHN WINSTON CARSON APPELLANT AND: THE STAFF OF THE REGISTRAR OF MORTGAGE BROKERS
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des 22 nd Floor 22e etage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More information2004 BCSECCOM 634. Sections 161(1) and 162 of the Securities Act, RSBC 1996, c Hearing. Panel Brent W. Aitken Vice Chair.
Edward Andrew Durante aka Ed Simmons, Gillian Hobson, Berkshire Capital Partners, Inc., Commonwealth Associates, Ltd., Dottenhoff Financial, Ltd., and Galton Scott & Golett Inc. Sections 161(1) and 162
More informationFINANCIAL SERVICES TRIBUNAL
FINANCIAL SERVICES TRIBUNAL Fourth Floor 747 Fort Street Victoria British Columbia Telephone: (250) 387-3464 Facsimile: (250) 356-9923 Mailing Address: PO Box 9425 Stn Prov Govt Victoria BC V8W 9V1 Website:
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED -AND-
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationCONSENSUAL RESOLUTION AGREEMENT
IN THE MATTER OF THE ARCHITECTS ACT R.S.B.C. 1996 C. 17 AS AMENDED and IN THE MATTER OF A CONSENSUAL RESOLUTION BETWEEN: MACLENNAN JAUNKALNS MILLER ARCHITECTS LTD. and THE ARCHITECTURAL INSTITUTE OF BRITISH
More informationSettlement Agreement. Black Gold Resources Ltd. and William McDonald Ferguson (the Respondents) Securities Act, RSBC 1996, c. 418
British Columbia Securities Commission Citation: 2014 BCSECCOM 197 Settlement Agreement Black Gold Resources Ltd. and William McDonald Ferguson (the Respondents Securities Act, RSBC 1996, c. 418 1 The
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des P.O. Box 55, 19 th Floor CP 55, 19e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationBRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c Citation: Re Zhong, 2015 BCSECCOM 165 Date:
BRITISH COLUMBIA SECURITIES COMMISSION Securities Act, RSBC 1996, c. 418 Citation: Re Zhong, 2015 BCSECCOM 165 Date: 20150505 Hong Liang Zhong Panel Audrey T. Ho Commissioner George C. Glover, Jr. Commissioner
More informationIN THE MATTER OF THE SECURITIES ACT S.N.B. 2004, c. S and - IN THE MATTER OF REASONS FOR DECISION ON PRELIMINARY MOTION
IN THE MATTER OF THE SECURITIES ACT S.N.B. 2004, c. S-5.5 - and - IN THE MATTER OF NNR N. NATURAL RESOURCES INC., INT. TELEWORLD INC., FLASH FUNDING INTERNATIONAL CORP., FNT FOREVER NEW TECHNOLOGIES, INC.,
More informationREASONS AND DECISION (Subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5)
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen oust Toronto ON M5H 3S8 Citation: Re AAOption et
More informationDoc#: 475 Filed: 03/05/15 Entered: 03/05/15 15:51:03 Page 1 of 18 UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MONTANA.
14-60074 Doc#: 475 Filed: 03/05/15 Entered: 03/05/15 15:51:03 Page 1 of 18 UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MONTANA In Re: Roman Catholic Bishop of Helena, Montana, a Montana Religious
More informationIN THE MATTER OF THE SECURITIES ACT, RSO 1990, c S.5 - AND - IN THE MATTER OF RTG DIRECT TRADING GROUP LTD. and RTG DIRECT TRADING LIMITED
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More information2007 BCSECCOM 622. For Hypo Alpe-Adria-Bank (Lichtenstein) AG. Sections 161(1), (2) and (3) of the Securities Act, RSB-C 1996, c 418.
Hypo Alpe-Adria-Bank (Lichtenstein) AG Sections 161(1), (2) and (3) of the Securities Act, RSB-C 1996, c 418 Hearing Panel Brent W. Aitken Vice Chair Neil Alexander Commissioner Robert J. Milbourne Commissioner
More information2006 BCSECCOM 179. Headnote An issuer requires an exemption from all issuer bid requirements in connection with a share exchange agreement
Headnote An issuer requires an exemption from all issuer bid requirements in connection with a share exchange agreement Exemption Order BioLytical Laboratories Inc. Section 114(2)(c) of the Securities
More informationUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION II.
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 81172 / July 19, 2017 ADMINISTRATIVE PROCEEDING File No. 3-18070 In the Matter of Respondent.
More informationJaguar Financial Corporation, Galway Metals Inc. and TSX Venture Exchange Inc. Securities Act, RSBC 1996, c Application
Citation: 2014 BCSECCOM 440 Jaguar Financial Corporation, Galway Metals Inc. and TSX Venture Exchange Inc. Securities Act, RSBC 1996, c. 418 Application Panel Nigel P. Cave Vice Chair Christopher D. Farber
More informationIN THE MATTER OF THE SECURITIES ACT, RSO 1990, c S.5 - AND -
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationRe Noronha SANCTION DECISION
Re Noronha IN THE MATTER OF: The Rules of the Investment Industry Regulatory Organization of Canada and Jayanth Noronha 2017 IIROC 16 Investment Industry Regulatory Organization of Canada Hearing Panel
More informationIN THE MATTER OF THE SECURITIES ACT S.N.B. 2004, c. S and - IN THE MATTER OF
IN THE MATTER OF THE SECURITIES ACT S.N.B. 2004, c. S-5.5 - and - IN THE MATTER OF MI CAPITAL CORPORATION, ONE CAPITAL CORP. LIMITED, SEAN AYEARS and SCOTT PARKER (RESPONDENTS) REASONS FOR DECISION Date
More informationCitation: Global 8 Environmental Technologies, Inc. (Re), 2017 ONSEC 31 Date:
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen oust Toronto ON M5H 3S8 Citation: Global 8 Environmental
More information1. Company/Organization/Individual named in the determination ( Appellant ) Name Address Postal Code
APPEAL FORM (Form 1) This Appeal Form, along with the required attachments, must be delivered to the Employment Standards Tribunal within the appeal period. See Rule 18(3) of the Tribunal s Rules of Practice
More informationSFC revokes W. Falcon Asset Management (Asia) Limited s licence
SFC revokes W. Falcon Asset Management (Asia) Limited s licence Securities & Futures Commission of Hong Kong Home News & announcements News All news SFC revokes W. Falcon Asset Management (Asia) Limited
More informationDISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS. Heard on: Wednesday, 28 June 2017
DISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS REASONS FOR DECISION In the matter of: Mr Abu Talib Ghadiri Heard on: Wednesday, 28 June 2017 Location: HMP The Mount, Molyneaux
More informationRe Watts DECISION AND REASONS
Re Watts IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada and John Phillip Watts 2016 IIROC 28 Investment Industry Regulatory Organization of Canada
More informationAmended Notice of Hearing. Aik Guan Frankie Lim, Scott Thomas Low and Darrell Wayne Wiebe
British Columbia Securities Commission Citation: 2018 BCSECCOM 330 Amended Notice of Hearing Aik Guan Frankie Lim, Scott Thomas Low and Darrell Wayne Wiebe FS Financial Strategies Inc., FS Financial Strategies
More informationSEC Antifraud Rule Applicable to Investment Advisers to Pooled Investment Vehicles Becomes Effective
CAHILL GORDON & REINDEL LLP SEPTEMBER 10, 2007 EIGHTY PINE STREET NEW YORK, NEW YORK 10005-1702 TELEPHONE: (212) 701-3000 FACSIMILE: (212) 269-5420 This memorandum is for general information purposes only
More informationCase 1:15-cv LG-RHW Document 62 Filed 10/02/15 Page 1 of 11
Case 1:15-cv-00236-LG-RHW Document 62 Filed 10/02/15 Page 1 of 11 IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF MISSISSIPPI SOUTHERN DIVISION FEDERAL INSURANCE COMPANY PLAINTIFF/ COUNTER-DEFENDANT
More informationCHARTERED PROFESSIONAL ACCOUNTANTS OF ONTARIO (THE INSTITUTE OF CHARTERED ACCOUNTANTS OF ONTARIO) CHARTERED ACCOUNTANTS ACT, 2010 DISCIPLINE COMMITTEE
CHARTERED PROFESSIONAL ACCOUNTANTS OF ONTARIO (THE INSTITUTE OF CHARTERED ACCOUNTANTS OF ONTARIO) CHARTERED ACCOUNTANTS ACT, 2010 DISCIPLINE COMMITTEE IN THE MATTER OF: Allegations against JOE CLEMENT
More informationIN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, c. S.5, AS AMENDED -AND- IN THE MATTER OF MARK STEVEN ROTSTEIN AND EQUILIBRIUM PARTNERS INC.
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIndexed As: Walker v. British Columbia Securities Commission
Andrew Gordon Walker (appellant) v. British Columbia (Securities Commission) (respondent) (CA038350; 2011 BCCA 415) Indexed As: Walker v. British Columbia Securities Commission British Columbia Court of
More informationBEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY DECISION
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. DECISION Complaint No. 2010021621201 Dated: May 20, 2014 Michael
More informationUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 10210 / September 16, 2016 SECURITIES EXCHANGE ACT OF 1934 Release No. 78863 / September 16, 2016
More informationALBERTA SECURITIES COMMISSION DECISION. Citation: Westside Land Corporation, Re, 2012 ABASC 486 Date:
ALBERTA SECURITIES COMMISSION DECISION Citation: Westside Land Corporation, Re, 2012 ABASC 486 Date: 20121120 Westside Land Corporation, West Pointe Park Ltd., Avion Park Ltd., Eastridge Park Ltd., Eastridge
More informationALBERTA SECURITIES COMMISSION DECISION. Citation: Re Zhang, 2018 ABASC 28 Date: Fengjiu Zhang. Tom Cotter James Oosterbaan
ALBERTA SECURITIES COMMISSION DECISION Citation: Re Zhang, 2018 ABASC 28 Date: 20180215 Fengjiu Zhang Panel: Tom Cotter James Oosterbaan Representation: Don Young for Commission Staff Perry Mack, Q.C.
More informationLIMITED LIABILITY PARTNERSHIP LAW DIFC LAW NO. 5 OF 2004
LIMITED LIABILITY PARTNERSHIP LAW DIFC LAW NO. 5 OF 2004 Consolidated Version (May 2017) As Amended by DIFC Law Amendment Law DIFC Law No. 1 of 2017 CONTENTS PART 1: GENERAL...1 1. Title and Commencement...1
More informationFST FINANCIALSERVICES. KEITH BRYAN WESTERGAARD and GET ACCEPTANCE CORPORATION REGISTRAR OF MORTGAGE BROKERS APPEAL DECISION
FST-05-017 FINANCIAL SERVICES TRIBUNAL In the matter of Mortgage Brokers Act R.S.B.C. 1996, C. 313 BETWEEN: KEITH BRYAN WESTERGAARD and GET ACCEPTANCE CORPORATION APPELLANT AND: REGISTRAR OF MORTGAGE BROKERS
More informationIN THE COURT OF APPEAL. ARCELORMITTAL POINT LISAS LIMITED (formerly CARIBBEAN ISPAT LIMITED) Appellant AND
TRINIDAD AND TOBAGO IN THE COURT OF APPEAL Civil Appeal No: 211 of 2009 BETWEEN ARCELORMITTAL POINT LISAS LIMITED (formerly CARIBBEAN ISPAT LIMITED) Appellant AND STEEL WORKERS UNION OF TRINIDAD AND TOBAGO
More informationTHE COMMISSIONERS FOR HER MAJESTY S REVENUE AND CUSTOMS. - and
[2017] UKUT 177 (TCC) Appeal number: UT/2016/0011 VAT input tax absence of purchase invoices discretion to accept alternative evidence whether national rule rendered exercise of rights under European law
More informationCORRECTED OPINION IN THE SUPREME COURT OF THE STATE OF KANSAS. No. 108,494. In the Matter of JOHN C. DAVIS, Respondent.
CORRECTED OPINION IN THE SUPREME COURT OF THE STATE OF KANSAS No. 108,494 In the Matter of JOHN C. DAVIS, Respondent. ORIGINAL PROCEEDING IN DISCIPLINE Original proceeding in discipline. Opinion filed
More informationEnvironmental Appeal Board
Environmental Appeal Board Fourth Floor 747 Fort Street Victoria British Columbia V8W 3E9 Telephone: (250) 387-3464 Facsimile: (250) 356-9923 Mailing Address: PO Box 9425 Stn Prov Govt Victoria British
More informationIN THE MATTER OF A PLAN OF COMPROMISE OR ARRANGEMENT OF WALTER ENERGY CANADA HOLDINGS, INC. AND THE OTHER PETITIONERS LISTED ON SCHEDULE "A"
BCSC File No. S-1510120 Vancouver Registry IN THE SUPREME COURT OF BRITISH COLUMBIA IN THE MATTER OF THE COMPANIES' CREDITORS ARRANGEMENT ACT, R.S.C. 1985, c. C-36, AS AMENDED, IN THE MATTER OF THE BUSINESS
More informationc t PAYDAY LOANS ACT
c t PAYDAY LOANS ACT PLEASE NOTE This document, prepared by the Legislative Counsel Office, is an office consolidation of this Act, current to December 2, 2015. It is intended for information and reference
More informationIN THE MATIER OF a Proceeding under the Certified General Accountants Act, 2010 and the Bylaws
IN THE MATIER OF a Proceeding under the Certified General Accountants Act, 2010 and the Bylaws IN THE MATIER OF Mr. Victor Herrera, a member of The Certified General Accountants Association of Ontario
More informationHEARING DISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS
DISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS REASONS FOR DECISION In the matter of: Mr Jawad Raza Heard on: Thursday 7 and Friday 8 June 2018 Location: ACCA Head Offices,
More informationREASONS FOR DECISION
Reasons for Decision File No. 200914 IN THE MATTER OF A SETTLEMENT HEARING PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA Re: Michael Rosenfelder Heard: April
More informationRe Klemke. The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC)
Re Klemke IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC) and The By-Laws of the Investment Dealers Association of Canada (IDA) and Paul Ryan
More informationRe Suleiman DECISION AND REASONS
Re Suleiman IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada ( IIROC ) and Rizwan Suleiman ( Respondent ) 2016 IIROC 27 Investment Industry Regulatory
More informationRACING APPEALS TRIBUNAL IN THE MATTER OF A STAY APPLICATION BY DEAN MCDOWELL
RACING APPEALS TRIBUNAL IN THE MATTER OF A STAY APPLICATION BY DEAN MCDOWELL 1. Mr McDowell a licensed trainer, has lodged an appeal against the decision of 12 March 2015 of the Stewards appointed under
More informationIN THE SUPREME COURT OF BRITISH COLUMBIA
IN THE SUPREME COURT OF BRITISH COLUMBIA Citation: Between: Reid v. Reid, 2015 BCSC 889 Date: 20150528 Docket: E38713 Registry: New Westminster Denise Isabelle Reid Claimant And Mark Christopher Reid Respondent
More informationgfedc 1 Definition of partnership gfedc 6 Partners bound by acts on behalf of firm gfedc 9 Liability of partners
On 15/07/2015, you requested the version in force on 15/07/2015 incorporating all amendments published on or before 15/07/2015. The closest version currently available is that of 20/05/1994. Long Title
More informationNC General Statutes - Chapter 54C Article 5 1
Article 5. Enforcement. 54C-76. Cease and desist orders. (a) If a person or savings bank is engaging in, or has engaged in, any unsafe or unsound practice or unfair and discriminatory practice in conducting
More informationDISTRICT COURT OF APPEAL OF THE STATE OF FLORIDA FOURTH DISTRICT
DISTRICT COURT OF APPEAL OF THE STATE OF FLORIDA FOURTH DISTRICT WELLS FARGO EQUIPMENT FINANCE, INC., Appellant, v. BACJET, LLC, a Florida limited liability company, BERNARD A. CARBALLO, CARBALLO VENTURES,
More information2003 BCSECCOM 268. Schedule A. Settlement Agreement. A.W. Auto Watch Group Inc. and Raymond Michael Roger Sasseville
Schedule A Settlement Agreement A.W. Auto Watch Group Inc. and Raymond Michael Roger Sasseville Securities Act, RSBC 1996, c. 418 1 The following settlement of issues has been reached between A.W. Auto
More informationRe Dunn & Wimble. The Rules of the Investment Industry Regulatory Organization of Canada (IIROC) Thomas William Dunn and Gordon Joseph Wimble
Re Dunn & Wimble IN THE MATTER OF: The Rules of the Investment Industry Regulatory Organization of Canada (IIROC) and Thomas William Dunn and Gordon Joseph Wimble 2015 IIROC 16 Investment Industry Regulatory
More informationHOLY ALPHA AND OMEGA CHURCH OF TORONTO. and ATTORNEY GENERAL OF CANADA. Dealt with in writing without appearance of parties.
Date: 20090331 Docket: A-214-08 Citation: 2009 FCA 101 Present: BETWEEN: HOLY ALPHA AND OMEGA CHURCH OF TORONTO Applicant and ATTORNEY GENERAL OF CANADA Respondent Dealt with in writing without appearance
More information