Enforcement Staff of the Commission receive and assess complaints concerning alleged misconduct in the Alberta capital market and investigate possible breaches of Alberta's securities laws. If proceedings are warranted against one or more parties, Enforcement Staff will launch a hearing before a Commission panel using a Notice of Hearing or will launch an action in the Provincial Court of Alberta. Both types of proceedings result in decisions determining whether Alberta's securities laws were breached and, if appropriate, orders setting out the sanctions or consequences.
ASC Rule 15-501 Rules of Practice and Procedure for Commission Proceedings applies to proceedings commenced on or after April 1, 2009. Jayne Lewis has been designated the Registrar of the Alberta Securities Commission, and will accept all documents or other forms of communication that are to be directed to the Registrar.
Status of Proceedings
Select a respondent to view more information.
Respondent | Date | Purpose |
Kustom Design Financial Services Inc.
Kustom Design Group Inc.
Hightide Management Inc.
Synergy Group (2000) Inc.
LEPITRE, Michael Edward
JONES, Mark Adrian
ZIELKE, Leonard Jonathan | | decision on merits pending |
Flag Resources (1985) Limited
Golden Briar Mines Limited
MCLEOD, Murdo Campbell
MISZCZUK, Sidney | | decision on merits pending |
The Hear Now Incorporated
WILBY, Simon
BESAW, Gerard
SIRMAN, Michael | | decision on merits pending |
Focused Money Solutions Inc.
DELAET, Victor George | | submissions pending |
Arbour Energy Inc.
MORICE, Dennis
WEIS, Heinz
WIGMORE, Arthur
BROST, Milowe
The Institute For Financial Learning,
Group of Companies Inc.
Merendon Mining Corporation Ltd.
SORENSON, Gary |
July 2009; January - February, April - May 2010 |
hearing into merits
|
1205676 Alberta Ltd., operating as “Front Row Tickets”
660648 Alberta Ltd., operating as “S & I Holdings” and “S & I Holdings (Ticket Today)”
Beaune Investments Ltd.
Windy Ridge Investments Ltd.
687576 Alberta Ltd.
HUNT, Jason Allan
TAMURA, Sam Sakai
PITTARELLI, Anthony
CAMPANELLI-PITTARELLI Giovanna
PILLING, Robert Claire
BEAUNE, Justin David
MCLEOD, Daniel Neil
CREASON, Jamie Craig
CREASON, Jimmy Ross | March 2010 | hearing into merits (oral submissions) |
Hallett Financial Services Ltd.
HALLETT, Phillip Ross | March 2010 | setting hearing dates |
Gold-Quest International Corp.
GREENE, David Michael
JENKINS, John
MCGEE, Michael
ATWOOD, Delroy | March 2010 | submissions pending |
Black Sand Equity Management Ltd. | March 2010 | reciprocal application |
O’NEILL, Kerry John | March 2010 | reciprocal application |
SMYLSKI, Robert Michael
Smylski Consulting Services Ltd., carrying on business as Money Solutions | March 2010 | hearing into merits |
CASAVANT, Urban | March 2010 | reciprocal application |
Hav-Loc Private Wealth Partners Inc.
GEVAERT, Thierry | March 2010 | submissions pending |
Prism Investments Ltd.
GHANI, Ali | April 2010 | hearing into merits |
Delta 3 Capital Corporation Inc.
DUNN, Darrell W.
GOTTSELIG, Michael
BRZESKI, Lucas “Luke” | May 2010 | hearing into merits |
Strategic Equity Corp.
BULLOCH, David D. | June 2010 | hearing into merits |
LAVALLEE, Lambert Joseph | adjourned indefinitely | hearing into merits |