Theal pays $30,000 to settle disclosure breach
Read the risk disclosure in the offering memorandum, regulators advise
ASC decision against KCP Innovative and Baker upheld by Alberta Court of Appeal
Ex-officer of High Plains Energy ordered to pay $120,000
As part of Fraud Awareness Month, the Alberta Securities Commission (ASC) has launched a number of new online resources to help investors avoid investment fraud and make informed and responsible investing decisions.“Who’s Taking Care of Your Money?” is a new online learning tool designed to help investors explore key questions when considering an investment opportunity. […]
The Alberta Securities Commission (ASC) has extended an interim cease trade order against Lethbridge businessman Robert Michael Smylski and Smylski Consulting Services Ltd., which operates under the name Money Solutions.The interim cease trade order prohibits Smylski and Money Solutions from trading in any securities and using Alberta securities laws exemptions. The interim cease trade order […]
The Alberta Court of Appeal has upheld an Alberta Securities Commission (ASC) decision against Edmonton businessman Lambert “Bert” Lavallee relating to illegal trades and illegal distributions of KCP Innovative Services Inc. securities to Alberta investors. In dismissing the appeal, the Alberta Court of Appeal concluded that the ASC decision “was based upon the aggregate of […]
ASC issues trading bans against International Fiduciary Corp SA
The Alberta Securities Commission (ASC) has issued trading bans against Ontario-based Momentas Corp., its de facto officers and directors Howard Rash and Alexander Funt, its CEO and director Malcolm Rogers and its president, CFO and director Suzanne Morrison. An ASC panel decision reciprocates orders issued by the Ontario Securities Commission against the same parties on […]
Calgary man to pay more than $250,000 in fines and costs