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Jun 27, 2019, 13:40 ET ASC sanctions Vernon Ray Fauth for perpetrating a fraud on investors

CALGARY, June 27, 2019 /CNW/ - The Alberta Securities Commission (ASC) has sanctioned Vernon Ray Fauth, from Calgary, for breaching the Securities Act (Alberta) in connection with the sale of...


Jun 27, 2019, 11:40 ET ASC consults on Energizing Alberta's Capital Market

CALGARY, June 27, 2019 /CNW/ - The Alberta Securities Commission (ASC) today published ASC Consultation Paper 11-701 Energizing Alberta's Capital Market. This consultation is seeking input on steps...


Jun 25, 2019, 12:10 ET Global Financial Innovation Network reports on first year

CALGARY, June 25, 2019 /CNW/ - The Alberta Securities Commission (ASC), a member of the Global Financial Innovation Network (GFiN), is pleased to publish the GFIN One Year On report. The report sets...


Jun 17, 2019, 13:56 ET U.S.-based public company Processa settles with the ASC

CALGARY, June 17, 2019 /CNW/ - The Alberta Securities Commission (ASC) has concluded a Compliance Settlement Agreement and Undertaking with Processa Pharmaceuticals Inc., arising out of the issuance...


Jun 12, 2019, 14:00 ET ASC issues Notice of Hearing against Gerald Michael Budzinski

CALGARY, June 12, 2019 /CNW/ - The Alberta Securities Commission (ASC) has issued a Notice of Hearing against Gerald Michael Budzinski in connection with suspected market manipulation, failures to...


Jun 06, 2019, 10:39 ET ASC focuses on empowering seniors in June

Nearly 40 per cent of Albertans age 55+ believe they have been approached with a potentially fraudulent investment. CALGARY, June 6, 2019 /CNW/ - The Alberta Securities Commission (ASC) has launched...


Jun 05, 2019, 11:50 ET ASC finds that Brian Arthur Kitts and Vesta Capcorp Inc. perpetrated fraud

CALGARY, June 5, 2019 /CNW/ - The Alberta Securities Commission (ASC) has found that Brian Arthur Kitts and Vesta Capcorp Inc. breached Alberta securities laws. The respondents raised approximately...


Jun 03, 2019, 11:48 ET Former Edmonton registered representative Henry Ian Thor settles with the ASC for market manipulation

CALGARY, June 3, 2019 /CNW/ - The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Henry Ian Thor of Edmonton, a former registered representative at a...


May 29, 2019, 10:15 ET ASC issues Notice of Hearing against Imagine Research and Technology, Douglas Alexander Whyte and Brian Michael Jones

CALGARY, May 29, 2019 /CNW/ - The Alberta Securities Commission (ASC) has issued a Notice of Hearing against Imagine Research and Technology Inc. (Imagine), Douglas Alexander Whyte and Brian Michael...


May 21, 2019, 11:00 ET Securities Act confidentiality provision ruled constitutional

CALGARY, May 21, 2019 /CNW/ - Justice B. Millar of the Court of Queen's Bench of Alberta has rejected a constitutional attack against section 45 of the Securities Act (Alberta) (the Act), which...


Apr 11, 2019, 10:52 ET Notice of Hearing issued regarding allegations of Jay Modi, Arti Modi, Rajeev Singh and OmniArch Capital Corporation perpetrating a fraud and misleading investors

CALGARY, April 11, 2019 /CNW/ - A Notice of Hearing has been issued by the Alberta Securities Commission (ASC) against OmniArch Capital Corporation, Jay Rasik Modi, Arti Rajeev Singh, also known as...


Apr 09, 2019, 14:26 ET Red Deer man settles with the ASC for unregistered advising

CALGARY, April 9, 2019 /CNW/ - A Settlement Agreement and Undertaking has been concluded between the Alberta Securities Commission (ASC) and Gordon Thomson Fraser for Fraser acting as an adviser...


Mar 29, 2019, 12:38 ET JSOT quasi-criminally charges John Labun with fraud and breach of Commission decision

CALGARY, March 29, 2019 /CNW/ - John Carlos Labun of Calgary, Alberta has been charged with four offences under the Securities Act (Alberta), following an investigation by the Joint Serious Offences...


Mar 11, 2019, 13:54 ET Calgary lawyer Norman Anderson settles with the ASC for market manipulation

CALGARY, March 11, 2019 /CNW/ - The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Norman David Anderson for a breach of Alberta securities laws...


Mar 06, 2019, 15:30 ET Alberta Securities Commission launches Kajillionaire - new board game immerses players in the world of investment fraud

Dubbed "one of the world's most expensive games," Kajillionaire has a $25,000 price point CALGARY, March 6, 2019 /CNW/ - Kajillionaire, a new board game launched today by the Alberta Securities...


Mar 06, 2019, 13:21 ET ASC sanctions Edmonton resident Robert Carl Stewart and Tamarisk Energy Corp. for breaching Alberta securities laws

CALGARY, March 6, 2019 /CNW/ - The Alberta Securities Commission (ASC) has sanctioned Edmonton resident Robert Carl Stewart and his company Tamarisk Energy Corp. (Tamarisk) for breaching Alberta...


Mar 04, 2019, 10:49 ET Recidivist Neil Andrew McDonald sentenced to two years imprisonment for fraud and money laundering

CALGARY, March 4, 2019 /CNW/ - The Alberta Securities Commission (ASC) and the Alberta RCMP announced today that Neil Andrew McDonald (a.k.a. Neil Andrews) of Calgary was convicted and sentenced to...


Mar 01, 2019, 11:00 ET Alberta Securities Commission welcomes two new commission members

CALGARY, March 1, 2019 /CNW/ - The Alberta Securities Commission (ASC) is pleased to announce the Lieutenant Governor in Council has appointed Matthew Bootle, FCA and Gail Harding, Q.C., ICD.D., as...


Feb 25, 2019, 12:50 ET ASC sanctions Arnold Breitkreutz, Base Finance Ltd. and Susan Way for fraud

Panel sanctions respondents for deceiving investors and operating a Ponzi scheme CALGARY, Feb. 25, 2019 /CNW/ - The Alberta Securities Commission (ASC) has sanctioned Arnold Breitkreutz, Base Finance ...


Feb 20, 2019, 10:45 ET Former Calgary mutual fund salesperson settles with the ASC

CALGARY, Feb. 20, 2019 /CNW/ - The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Farhang (Fred) Dagostar Nikoo for breaches of Alberta securities laws...


Feb 13, 2019, 13:26 ET ASC issues Interim Order against Prize Mining Corporation

CALGARY, Feb. 13, 2019 /CNW/ - The Alberta Securities Commission (ASC) has issued an Interim Order against Prize Mining Corporation (Prize). An ASC panel previously ordered that all trading in Prize...


Jan 31, 2019, 14:46 ET ASC suspends the registration of Wells Asset Management System Inc. and the registration of Dale Wells

CALGARY, Jan. 31, 2019 /CNW/ - The Alberta Securities Commission (ASC) has suspended the registrations of Wells Asset Management System Inc. and its principal Mr. Dale Richard Wells. A review...


Jan 31, 2019, 10:49 ET ASC joins international network committed to supporting financial innovation

CALGARY, Jan. 31, 2019 /CNW/ - To help support innovation in the capital markets and the fintech (financial technology) industry, the Alberta Securities Commission (ASC) has become a member of the...


Jan 24, 2019, 11:13 ET Investor Alert: ASC warns public about Global Advocacy Association

CALGARY, Jan. 24, 2019 /CNW/ - The Alberta Securities Commission (ASC) is warning Alberta investors about Global Advocacy Association/Global Advocates, an organization targeting investors in the...


Jan 15, 2019, 14:13 ET ASC issues Variation Order relating to Prize Mining Corp.

CALGARY, Jan. 15, 2019 /CNW/ - The Alberta Securities Commission (ASC) has varied a January 3, 2019 Order in relation to preliminary allegations by ASC staff that Prize Mining Corp. (Prize) breached...