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Below is a list of individuals and firms:
- Who, based on their activity in another jurisdiction or jurisdictions, may have contacted or may contact New Brunswick residents, or
- Who have failed to respond to a request by Commission staff for information about their activities in New Brunswick capital markets.
These individuals and firms are not registered to trade in securities or to provide investment advice in New Brunswick. This list is not exhaustive.
If you are called by any of these individuals or firms you should exercise caution. It is always unwise to send money to someone who you know only from an unsolicited call.
To verify if a firm or individual is registered, search the online List of Registered Dealers and Advisers in New Brunswick. You may also want to check the Canadian Securities Administrators Disciplined Persons List.
(Click on headers to sort)
| Name | Jurisdiction | Date added to List |
| Trading ITG SA (mytradingitg.com) |
Costa Rica and Panama |
2010 |
| EFD Financial Group (efdcapital.com) |
United Kingdom |
2009 |
| West African Industries Ltd., Allan Moen, Louis Supera |
Sierra Leone and Nevada |
2009 |
| Cirplus Futures Inc. and Sun Wan "Sean" Kim |
British Columbia |
2009 |
| Oil Gas Drilling Ventures (oilgasdrillingventures.com) |
Canada |
2009 |
| Century One Capital Management (c1cm.com) |
Costa Rica |
2009 |
| FAM Group (famgroup.biz) |
Costa Rica |
2009 |
| Australian Mining Company (australian-mining.com) |
Australia |
2009 |
| Boutique Securities Management Company (boutiquesecurities.com) |
Australia |
2009 |
| Finance Deposits (Platinum Hedge Holdings Pty Ltd.)(financedeposits.com) |
Australia |
2009 |
| Mountain Mining Investment Ltd. (mountainmininginvestment.com) |
Tanzania |
2009 |
| Interbank FX Fund Inc. |
United Kingdom |
2009 |
| Paradise Brokers, All Saints Mountain Range Investments SLR, San Buenas Golf Resort |
Costa Rica |
2009 |
| M1 Capital |
British Columbia |
2009 |
| Petrovest Capital Corp. |
UK/ Ontario/ Alberta (?) |
2009 |
| Sunrise Solar Corp. |
Texas |
2009 |
| GreenStreet Advantage |
Florida |
2009 |
| Capital Resources LLC |
Ontario |
2009 |
| Institute for Financial Learning |
Alberta |
2008 |
| Goodman, John |
Alberta |
2008 |
| Brost, Milo |
Alberta |
2008 |
| Shallow Oil and Gas Inc. |
Ontario |
2008 |
| Global Pension Plan |
Switzerland |
2008 |
| Arial Trading LLC |
Costa Rica |
2007 |
| University Lab Technologies |
Florida |
2007 |
| Theodore, George |
Florida |
2007 |
| Iwanski, Dan |
Florida |
2007 |
| Axelrod, Steve |
Florida |
2007 |
| Schaiken, Sy |
Florida |
2007 |
| Ross, Bill |
Florida |
2007 |
| Green, Richard L. |
Florida |
2007 |
| Sewell, David |
Florida |
2007 |
| Meridian Investment Group S.A. |
Costa Rica |
2007 |
| Grant, Frank |
Costa Rica |
2007 |
| Gordon Equity Management |
Belize |
2007 |
| Kirkpatrick, Bruce |
Costa Rica |
2007 |
| Manz, Jeffery |
Costa Rica |
2007 |
| Brasfield, Don |
Costa Rica |
2007 |
| Reece, John |
Costa Rica |
2007 |
| Saxon, Rick |
Costa Rica |
2007 |
| Dizcarra, George |
Costa Rica |
2007 |
| Hartford Capital Management S.A. |
Panama |
2007 |
| White, Bruce |
Panama |
2007 |
| Wellington Trading Group S.A. |
Costa Rica |
2006 |
| Aquavia, Eric |
Costa Rica |
2006 |
| Davis, Dan |
Costa Rica |
2006 |
| Moxey, Al |
Costa Rica |
2006 |
| Bethel, Ronnie |
Costa Rica |
2006 |
| Bell, Timothy |
Costa Rica |
2006 |
| Finklestein, Russell |
Costa Rica |
2006 |
| Euston Capital Corporation |
Canada |
2006 |
| Schwartz, George |
Canada |
2006 |
| Saks, Charles |
Canada |
2006 |
| McLeod, George |
Canada |
2006 |
Have you been contacted by someone not on the list and are concerned? Ask us to verify.
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