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Enforcement     Upcoming Hearings Caution List Proceedings Recent Decisions Other Decisions and Orders                Recent Decisions   08 January 2010 Respondents:  Briand, Harrison & Associates Corporation, Craig D. Briand, Stephen V. Harrison Applicants:  Staff of the Commission Order 23 December 2009 Respondents:  Intercontinental Trading Group S.A. Applicants:  Staff of the Commission Reasons for Decision 09 December 2009 Respondents:  Locate Technologies Inc., Tubtron Controls Corp. Applicants:  Staff of the Commission Order 24 November 2009 Respondents:  Bradley Andrew Murray Applicants:  Staff of the Commission Order 18 November 2009 Respondents:  Intercontinental Trading Group S.A. Applicants:  Staff of the Commission Order 03 November 2009 Respondents:  Intercontinental Trading Group S.A. Applicants:  Staff of the Commission Order 21 September 2009 Respondents:  Pierre Emond, Armel Drapeau, Jules Bosse, Robert Saintonge Applicants:  Staff of the Commission Order 21 September 2009 Respondents:  Pierre Emond, Armel Drapeau, Jules Bosse, Robert Saintonge Applicants:  Staff of the Commission Order 21 September 2009 Respondents:  Pierre Emond, Armel Drapeau, Jules Bosse, Robert Saintonge Applicants:  Staff of the Commission Order 03 July 2009 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Reasons for Decision 20 May 2009 Respondents:  Assante Financial Management Ltd. Applicants:  Staff of the Commission Order 20 May 2009 Respondents:  Jim Palmer, Strategic Energy Partners Applicants:  Staff of the Commission Reasons for Decision 30 April 2009 Respondents:  Goldpoint Resources Corporation, Lino Novielli, Brian Moloney, Evanna Tomeli, Robert Black, Richard Wylie, Jack Anderson, Jim Corcoran Applicants:  Staff of the Commission Order 20 April 2009 Respondents:  Barry Adams Applicants:  Staff of the Commission Order 14 April 2009 Respondents:  Centre de Traitement D'Information de Credit (C.T.I.C. Inc) DBA as Groupe Financier CTIC, CITCAP Groupe Financier Inc., Patrick Gauthier Applicants:  Staff of the Commission Order 03 April 2009 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 23 March 2009 Respondents:  Legacy Associates Inc. Applicants:  Staff of the Commission Reasons for Decision 17 March 2009 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 10 March 2009 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Reasons for Decision 25 February 2009 Respondents:  Jim Palmer, Strategic Energy Partners Applicants:  Staff of the Commission Order 20 January 2009 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 20 January 2009 Respondents:  Sang Park Applicants:  Staff of the Commission Reasons for Decision 19 January 2009 Respondents:  Wayne Mallett Applicants:  Staff of the Commission Order 12 January 2009 Respondents:  Berrie White Capital Corporation, Matthew White Applicants:  Staff of the Commission Order 06 January 2009 Respondents:  Berrie White Capital Corporation, Matthew White Applicants:  Staff of the Commission Settlement Agreement 11 December 2008 Respondents:  First Alliance Management Inc., Ted Freedman Applicants:  Staff of the Commission Reasons for Decision 12 November 2008 Respondents:  Legacy Associates Inc. Applicants:  Staff of the Commission Order 06 November 2008 Respondents:  Legacy Associates Inc. Applicants:  Staff of the Commission Settlement Agreement 04 November 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 03 November 2008 Respondents:  First Alliance Management Inc., Ted Freedman Applicants:  Staff of the Commission Cease Trade Order 29 October 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Settlement Agreement 29 October 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Reasons for Decision 24 October 2008 Respondents:  First Alliance Management Inc., Ted Freedman Applicants:  Staff of the Commission Ex Parte Temporary Order 20 October 2008 Respondents:  Global Energy Group Ltd., New Gold Limited Partnerships Applicants:  Staff of the Commission Reasons for Decision 08 September 2008 Respondents:  Global Petroleum Strategies LLC, Petroleum Unlimited LLC, Aurora Escrow Services LLC, Roger A. Kimmel Jr. Applicants:  Staff of the Commission Reasons for Decision 27 August 2008 Respondents:  Global Energy Group Ltd., New Gold Limited Partnerships Applicants:  Staff of the Commission Order 25 August 2008 Respondents:  Sang Park Applicants:  Staff of the Commission Order 25 August 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 20 August 2008 Respondents:  Global Petroleum Strategies LLC, Petroleum Unlimited LLC, Aurora Escrow Services LLC, Roger A. Kimmel Jr. Applicants:  Staff of the Commission Order 20 August 2008 Respondents:  Malsbury Investment Corporation, Shayne Lorne Malsbury Applicants:  Staff of the Commission Order 13 August 2008 Respondents:  Sang Park Applicants:  Staff of the Commission Settlement Agreement 21 July 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Reasons for Decision 21 July 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Reasons for Decision 21 July 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Reasons for Decision 14 July 2008 Respondents:  Ad Capital U.S. Inc., AdCapital Industries Inc., Adis Golic Applicants:  Staff of the Commission Order 19 June 2008 Respondents:  Goldpoint Resources Corporation, Lino Novielli, Brian Moloney, Evanna Tomeli, Robert Black, Richard Wylie, Jack Anderson, Jim Corcoran Applicants:  Staff of the Commission Order 30 May 2008 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Decision on Administrative Penalties and Costs 28 May 2008 Respondents:  Goldpoint Resources Corporation, Lino Novielli, Brian Moloney, Evanna Tomeli, Robert Black, Richard Wylie, Jack Anderson, Jim Corcoran Applicants:  Staff of the Commission Order 12 May 2008 Respondents:  Goldpoint Resources Corporation, Lino Novielli, Brian Moloney, Evanna Tomeli, Robert Black, Richard Wylie, Jack Anderson, Jim Corcoran Applicants:  Staff of the Commission Ex-parte Temporary Order 11 April 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 10 April 2008 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 27 March 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Order 26 March 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Order 26 March 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Order 26 March 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Order 26 March 2008 Respondents:  Ronald J. Fulton, Robert E. Lane, James H. Oagles, Jeannie Tracy, Wealth Pools International Inc. Applicants:  Staff of the Commission Order 21 February 2008 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Reasons for Decision 17 December 2007 Respondents:  Al-Tar Energy Corp., Alberta Energy Corp., Eric O'Brien, Julian Sylvester Applicants:  Staff of the Commission Reasons for Decision 22 October 2007 Respondents:  Meisner Inc. S.A., Meisner Corporation, Meisner Incorporated, Jorge Vizcarra, George Dizcarra Applicants:  Staff of the Commission Reasons for Decision 15 October 2007 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Order 15 October 2007 Respondents:  706166 Alberta Ltd., Bradley Corporate Services Ltd., Michael Cody, Lorne Drever, Locate Technologies Inc., Donald Nason, Harry Niles, Tubtron Controls Corp. Applicants:  Staff of the Commission Consent Order 15 October 2007 Respondents:  Al-Tar Energy Corp., Alberta Energy Corp., Eric O'Brien, Julian Sylvester Applicants:  Staff of the Commission Order 09 October 2007 Respondents:  University Lab Technologies Inc., University Health Industries Inc., Andrew Werner, George Theodoropoulos, PriceWarner Financial LLC Applicants:  Staff of the Commission Order 09 October 2007 Respondents:  Saxon Financial Services Ltd., Saxon Consultants Ltd., Sean Wilson, Justin Praamsma, Conrad Praamsma, Todd Young, Merchant Capital Markets S.A. Applicants:  Staff of the Commission Reasons for Decision 24 September 2007 Respondents:  University Lab Technologies Inc., University Health Industries Inc., Andrew Werner, George Theodoropoulos, PriceWarner Financial LLC Applicants:  Staff of the Commission Ex Parte Temporary Order 17 August 2007 Respondents:  Limelight Capital Management Ltd., Limelight Entertainment Inc., Al Grossman, Tom Mezinski, Hanoch Ulfan, Carlos da Silva, David Campbell Applicants:  Staff of the Commission Reasons for Decision 02 August 2007 Respondents:  Meisner Inc. S.A., Meisner Corporation, Meisner Incorporated, Jorge Vizcarra, George Dizcarra Applicants:  Staff of the Commission Order 27 July 2007 Respondents:  Meisner Inc. S.A., Meisner Corporation, Meisner Incorporated, Jorge Vizcarra, George Dizcarra Applicants:  Staff of the Commission Temporary Order 27 July 2007 Respondents:  Saxon Financial Services Ltd., Saxon Consultants Ltd., Sean Wilson, Justin Praamsma, Conrad Praamsma, Todd Young, Merchant Capital Markets S.A. Applicants:  Staff of the Commission Order 13 July 2007 Respondents:  Saxon Financial Services Ltd., Saxon Consultants Ltd., Sean Wilson, Justin Praamsma, Conrad Praamsma, Todd Young, Merchant Capital Markets S.A. Applicants:  Staff of the Commission Temporary Order 02 May 2007 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 01 May 2007 Respondents:  David Baskin, Baskin Financial Services Inc. Applicants:  Staff of the Commission Reasons for Decision 01 May 2007 Respondents:  David Baskin, Baskin Financial Services Inc. Applicants:  Staff of the Commission Consent Order 12 April 2007 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 26 February 2007 Respondents:  James K. Hanley Applicants:  Staff of the Commission Order and Settlement Agreement 15 January 2007 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 11 January 2007 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 21 December 2006 Respondents:  James K. Hanley Applicants:  Staff of the Commission Order 21 December 2006 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 21 December 2006 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 13 December 2006 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 12 December 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Consent Order 27 November 2006 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Consent Order 30 October 2006 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 20 October 2006 Respondents:  Jabez Financial Services Inc., JFS Credit Union, Keith Haley, Normand LeBlanc, Quintin Sponagle Applicants:  Staff of the Commission Order 11 October 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Order 06 October 2006 Respondents:  Limelight Capital Management Ltd., Limelight Entertainment Inc., Al Grossman, Tom Mezinski, Hanoch Ulfan, Carlos da Silva, David Campbell Applicants:  Staff of the Commission Consent Order 24 August 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Order 14 June 2006 Respondents:  Limelight Capital Management Ltd., Limelight Entertainment Inc., Al Grossman, Tom Mezinski, Hanoch Ulfan, Carlos da Silva, David Campbell Applicants:  Staff of the Commission Order 14 June 2006 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 24 May 2006 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 24 May 2006 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 24 May 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Order 11 May 2006 Respondents:  First Global Ventures S.A., Al Grossman, Alan Marsh Shuman Applicants:  Staff of the Commission Order 26 April 2006 Respondents:  Limelight Capital Management Ltd., Limelight Entertainment Inc., Al Grossman, Tom Mezinski, Hanoch Ulfan, Carlos da Silva, David Campbell Applicants:  Staff of the Commission Order 25 April 2006 Respondents:  Alain Brien Applicants:  Staff of the Commission Order 24 April 2006 Respondents:  Alain Brien Applicants:  Staff of the Commission Settlement Agreement 11 April 2006 Respondents:  Limelight Capital Management Ltd., Limelight Entertainment Inc., Al Grossman, Tom Mezinski, Hanoch Ulfan, Carlos da Silva, David Campbell Applicants:  Staff of the Commission Temporary Cease Trade Order 11 April 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Order 31 March 2006 Respondents:  Maitland Capital Ltd., Al Grossman, Hanoch Ulfan, Steve Lanys, Jack Travin, Leonard Waddingham, Saul Messinger, Kim Wadhwani Applicants:  Staff of the Commission Order 19 January 2006 Respondents:  Investors Group Financial Services Inc. Applicants:  Staff of the Commission Order 19 January 2006 Respondents:  Investors Group Financial Services Inc. Applicants:  Staff of the Commission Reasons for Decision 12 January 2006 Respondents:  Investors Group Financial Services Inc. Applicants:  Staff of the Commission Settlement Agreement 09 September 2005 Respondents:  Vincent LaCroix Applicants:  Staff of the Commission Order 31 August 2005 Respondents:  OptionsXpress Inc. Applicants:  Staff of the Commission Order and Settlement Agreement 29 August 2005 Respondents:  Vincent LaCroix Applicants:  Staff of the Commission Temporary Order (Executive Director) 16 May 2005 Respondents:  Fundy Minerals Ltd. Applicants:  Staff of the Commission Temporary Order 16 May 2005 Respondents:  Portus Alternative Asset Management Inc., Boaz Manor Applicants:  Staff of the Commission Extension Order 16 May 2005 Respondents:  Fundy Minerals Ltd. Applicants:  Staff of the Commission Decision and Order 15 February 2005 Respondents:  Portus Alternative Asset Management Inc., Boaz Manor Applicants:  Staff of the Commission Order 15 February 2005 Respondents:  Portus Alternative Asset Management Inc. Applicants:  Staff of the Commission Temporary Order 15 February 2005 Respondents:  Mark Edward Valentine Applicants:  Staff of the Commission Order 15 February 2005 Respondents:  Manulife Securities International Ltd. Applicants:  Staff of the Commission Order and Settlement Agreement 15 February 2005 Respondents:  Manulife Securities International Ltd. Applicants:  Staff of the Commission Reasons for Decision 15 June 2004 Respondents:  Jarislowsky Fraser Limited Applicants:  Securities Administration Branch Settlement Agreement 31 March 2004 Respondents:  Bradley Corporate Services Ltd., Lorne Drever, Locate Technologies Inc., Harry Niles, Tubtron Controls Corp., 500988 N.B. Ltd. Applicants:  Securities Administration Branch Order 30 September 2003 Respondents:  Aegon Dealer Services Canada Inc. Applicants:  Securities Administration Branch Settlement Agreement 14 August 2003 Respondents:  Jones Heward Investment Counsel Inc Applicants:  Securities Administration Branch Order 26 April 2002 Respondents:  Emile Joseph Arsenault, Education Fund Services Inc Applicants:  Securities Administration Branch Order and Decision 21 March 2002 Respondents:  IPC Investment Corporation Applicants:  Securities Administration Branch Order 13 November 2001 Respondents:  Regal Capital Planners Ltd. Applicants:  Securities Administration Branch Order 02 August 2001 Respondents:  Balanced Planning Investments Corporation Applicants:  Securities Administration Branch Order 13 July 2001 Respondents:  MacDougall, MacDougall & MacTier Inc. Applicants:  Securities Administration Branch Order 22 March 2001 Respondents:  Gordon Arthur Bond, Regal Capital Planners Ltd. Applicants:  Securities Administration Branch Decision 26 February 2001 Respondents:  Heritage Financial Services Inc. Applicants:  Securities Administration Branch Order 11 January 2001 Respondents:  CMG - Worldsource Financial Services Inc. Applicants:  Securities Administration Branch Order 11 January 2001 Respondents:  National Bank Financial Inc. Applicants:  Securities Administration Branch Order 25 February 1998 Respondents:  Bruce R.H. Logan Applicants:  Securities Administration Branch Decision and Order 18 December 1997 Respondents:  Brian Lund Applicants:  Securities Administration Branch Order 18 December 1997 Respondents:  Paul Wilson, Fortune Investment Corp. Applicants:  Securities Administration Branch Order 24 October 1997 Respondents:  Earle M. Smith Applicants:  Securities Administration Branch Decision and Order 22 October 1997 Respondents:  Scott C. Armstrong Applicants:  Securities Administration Branch Decision and Order 06 December 1996 Respondents:  Jean-Marc Vienneau, Midland Walwyn Capital Inc. Applicants:  Securities Administration Branch Decision 24 May 1996 Respondents:  Kenneth Layden, Regal Capital Planners Ltd. Applicants:  Securities Administration Branch Decision 10 September 1995 Respondents:  Reginald Roussel, Investors Group Financial Services Inc. Applicants:  Securities Administration Branch Decision and Order 20 April 1995 Respondents:  Michael Smith, Strata Distribution Services Limited Applicants:  Securities Administration Branch Decision 23 March 1993 Respondents:  Janet Miller, Canadian American Financial Corporation Applicants:  Securities Administration Branch Decision 15 February 1993 Respondents:  Gerard Lizotte, Canadian American Financial Corporation Applicants:  Securities Administration Branch Decision 18 October 1992 Respondents:  Normand Shott Applicants:  Securities Administration Branch Decision 22 September 1992 Respondents:  PFSL Investments Canada Limited, Donald Campbell Applicants:  Securities Administration Branch Order 08 September 1992 Respondents:  Money Concepts Group Capital Corp. Applicants:  Securities Administration Branch Decision 23 July 1992 Respondents:  Donald MacKay Applicants:  Securities Administration Branch Order 23 July 1992 Respondents:  Fernand Robichaud Applicants:  Securities Administration Branch Order 22 June 1992 Respondents:  Ulysse Kerry Applicants:  Securities Administration Branch Order 03 June 1992 Respondents:  Clyde Woodworth Applicants:  Securities Administration Branch Decision and Reasons 13 February 1992 Respondents:  Harold Killiam Applicants:  Securities Administration Branch Order 13 February 1992 Respondents:  Edward MacDermaid Applicants:  Securities Administration Branch Order 13 February 1992 Respondents:  Lowell Loveday Applicants:  Securities Administration Branch Order 13 February 1992 Respondents:  Burton Folkins Applicants:  Securities Administration Branch Order 17 September 1991 Respondents:  André Quéré Applicants:  Securities Administration Branch Decision and Reasons 14 June 1991 Respondents:  John Doucet Applicants:  Securities Administration Branch Decision and Reasons 06 February 1991 Respondents:  Ronald Woodman Applicants:  Securities Administration Branch Decision and Reasons 31 January 1991 Respondents:  Richard Law Applicants:  Securities Administration Branch Decision and Reasons 19 December 1990 Respondents:  Peta Shaughn Drummond Applicants:  Securities Administration Branch Decision and reasons