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Ontario Securities Commission v. Chuck Sullivan: Judicial Assistance (Canada)

November 25, 2024
Emergency Ex Parte Application for Judicial Assistance by the Ontario Securities Commission to compel Chuck Sullivan "to appear and testify remotely before the Capital Markets Tribunal" regarding an action against Kallo Inc., John Cecil, and Samuel Pyo for alleged fraud, filed at the U.S. District Court for the Middle District of North Carolina.

Mek Global Ltd. et al: C$2M Fine (‘Unregistered Crypto Investment Activity’)

June 21, 2022
Reasons and Decision in the matter of Mek Global Limited. of the Seychelles, and PhoenixFin Pte. Ltd., of Singapore, collectively known as KuCoin, which "sold crypto contracts and crypto futures contracts through their global online crypto asset trading platform", before the Ontario Securities Commission.

EastBay Master Fund LP et al: $65K Fine

January 20, 2022
Settlement Agreement between the Nova Scotia Securities Commission and EastBay Asset Management LLC and EastBay Master Fund LP, of the Cayman Islands, regarding alleged regulatory breaches involving WildBrain Ltd.

Aux Cayes Fintech Co. Ltd.: Statement of Allegations

August 18, 2021
Statement of Allegations in the matter of Aux Cayes Fintech Co. Ltd., described as a Seychelles-domiciled operator of "an online crypto asset trading platform", for "violating Ontario securities law", before the Ontario Securities Commission.

Mark Litwin et al: Securities Fraud Charges

June 22, 2021
News Release by the Ontario Securities Commission entitled "Former officers and directors of CannTrust charged with Securities Act Offences", identifying those charged as Mark Litwin, Eric Paul, and Peter Aceto, all of Toronto, Canada.

Bybit Fintech Ltd.: Statement of Allegations (Canada)

June 21, 2021
Statement of Allegations alleging unregistered securities activity involving cryptocurrencies in the Enforcement Branch of the Ontario Securities Commission v. Bybit Fintech Limited, described as a British Virgin Islands-domiciled "online crypto asset trading platform", and which appears to be based in Singapore, before the Ontario Securities Commission.

Mek Global Ltd. et al: Allegations

June 7, 2021
Statement of Allegations in the matter of Mek Global Limited, of the Seychelles, and PhoenixFin Pte. Ltd., of Singapore, collectively doing business as KuCoin, described as "an online crypto asset trading platform", before the Ontario Securities Commission.

Polo Digital Assets Ltd.: Statement of Allegations

May 25, 2021
Statement of Allegations "for disregarding Ontario securities law and to signal that crypto asset trading platforms flouting Ontario securities law will face regulatory action" in Ontario Securities Commission v. Polo Digital Assets Ltd., a.k.a. Poloniex, described as a Seychelles-domiciled "online crypto asset trading platform", before the Ontario Securities Commission.

Coinsquare Ltd. et al: Statement of Allegations

July 16, 2020
Statement of Allegations in a proceeding against Coinsquare Ltd., described as "a crypto asset trading platform located in Toronto"; Cole Diamond, Virgile Rostand, and Felix Mazer "to hold them accountable for their misconduct and to send a message to other market participants in the crypto asset sector that deceptive conduct will not be tolerated in Ontario's capital markets", at the Ontario Securities Commission. The allegations include market manipulation and "a reprisal against an internal whistleblower".

Coinsquare Ltd. et al: Settlement Agreement

July 16, 2020
Settlement Agreement between the Ontario Securities Commission, in Canada, and Coinsquare Ltd., which "operates a crypto asset trading platform in Toronto"; Cole Diamond, Virgile Rostand, and Felix Mazer.

Patrick Mazza et al: Suspension Order

June 17, 2020
Temporary Order by the Ontario Securities Commission suspending the trading of securities by Evolution Mentor Capital Inc. and Pasqualino (Patrick) Michael Mazza for suspected unauthorized trading.

First Class Crypto Inc. et al: Settlement of Allegations

May 28, 2020
Order Approving Settlement in Ontario Securities Commission v. First Class Crypto Inc., Johnathan Harris, Mitchell Carnie, and Neill Kross regarding an investment offering "to purchase computing hardware that mines crypto assets".

First Class Crypto Inc. et al: Statement of Allegations

May 27, 2020
Statement of Allegations against First Class Crypto Inc., Johnathan Harris, Mitchell Carnie, and Neill Kross regarding "false or misleading statements" when raising C$365,000 from investors purportedly "to purchase computing hardware that mines crypto assets", at the Ontario Securities Commission.

Ava Trade Ltd.: News Release

January 20, 2020
News Release by the Alberta Securities Commission announcing a settlement agreement with Ava Trade Ltd., of the British Virgin Islands, "for acting as a dealer without being registered".

Ava Trade Ltd.: Settlement Agreement

January 16, 2020
Settlement Agreement in the amount of C$243,000 for unregistered activity in the matter of Ava Trade Ltd., of the British Virgin Islands, before the Alberta Securities Commission.

David Sidders et al: Reasons & Decision

October 23, 2019
Reasons and Decision in the matter of Cameron Edward Cornish, David Paul George Sidders, and Patrick Jelf Caruso before the Ontario Securities Commission.

Alex Tapscott et al: Statement of Allegations

May 8, 2019
Statement of Allegation in the Ontario Securities Commission v. NextBlock Global Limited and Alex Tapscott regarding allegedly false statements in offering memoranda for a blockchain-related private placement.

Garo Deyrmenjian et al: Decision

March 11, 2019
Decision in in the matter of Garo Aram Deyrmenjian, Raffi Khorchidian, David Craven, and EuroHelvetia TrustCo SA, now known as EHT Corporate Services SA, of Switzerland, at the British Columbia Securities Commission.

Gibraltar Global Securities Inc.: Findings

May 22, 2012
Findings in Executive Director of the British Columbia Securities Commission v. Gibraltar Global Securities Inc. at the British Columbia Securities Commission.