Recent Past Insolvencies

Recent Past Insolvencies of Former CIPF member firms:



CIPF Issues Notice to Former Customers of First Leaside Securities Inc., October 26, 2016

Notice Regarding CIPF Appeal Committee decision dated May 26, 2016

CIPF Issues Notice to Former Customers of First Leaside Securities Inc., September 22, 2015

CIPF Issues Notice to Former Customers of First Leaside Securities Inc., December 24, 2014

CIPF Issues Notice to Former Customers of First Leaside Securities Inc., May 8, 2014

CIPF Issues Notice to Former Customers of First Leaside Securities Inc., January 16, 2014

CIPF Issues Notice to Former Customers of First Leaside Securities Inc., November 19, 2013

CIPF Issues Notice to Customers of First Leaside Securities Inc., November 1, 2013

CIPF Issues Notice to Customers of First Leaside Securities Inc., April 11, 2013

CIPF Issues Notice to Customers of First Leaside Securities Inc., December 7, 2012

CIPF Issues Notice to Customers of First Leaside Securities Inc., August 16, 2012

CIPF Issues Notice to Customers of First Leaside Securities Inc., February 24, 2012

FLSI Customer Claim Form

CIPF Coverage Policy September 30, 2010

CIPF Claims Procedures March 29, 2011

Guidelines for Canadian Investor Protection Fund (“CIPF”) Appeal Committees Hearing In-Person Appeals dated October 6, 2014

Guidelines for Canadian Investor Protection Fund (“CIPF”) Appeal Committees Hearing Appeals in Writing and By Teleconference dated February 1, 2015

CIPF Appeal Committee Decisions

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October 2014 Hearings

Decision dated December 17, 2014 with respect to the hearing held on October 27, 2014
Decision dated February 13, 2015 with respect to the hearing held on October 28, 2014

December 2014 Hearings

Decision dated February 13, 2015 with respect to the hearing held on December 8, 2014
Decision dated February 13, 2015 with respect to the hearing held on December 10, 2014

January 2015 Hearings

Decision dated February 28, 2015 with respect to the hearing held on January 13, 2015

February 2015 Hearings

Decision dated February 20, 2015 with respect to the hearing held on February 17, 2015
Decision dated February 20, 2015 with respect to the hearing held on February 18, 2015
Decision dated February 20, 2015 with respect to the hearing held on February 19, 2015
Decision dated February 27, 2015 with respect to the hearing held on February 23, 2015
Decision dated February 27, 2015 with respect to the hearing held on February 23, 2015
Decision dated February 27, 2015 with respect to the hearing held on February 24, 2015
Decision dated March 6, 2015 with respect to the hearing held on February 2, 2015
Decision dated March 24, 2015 with respect to the hearing held on February 3, 2015

March 2015 Hearings

Decision dated March 17, 2015 with respect to the hearing held on March 16, 2015
Decision dated March 17, 2015 with respect to the written hearing held on March 16, 2015
Decision dated March 26, 2015 with respect to the hearing held on March 25, 2015
Decision dated March 25, 2015 with respect to the written hearing held on March 25, 2015
Decision dated March 26, 2015 with respect to the hearing by teleconference held on March 25, 2015
Decision dated March 25, 2015 with respect to the written hearing held on March 25, 2015
Decision dated April 24, 2015 with respect to the written hearing held on March 24, 2015

April 2015 Hearings

Decision dated April 24, 2015 with respect to the hearing held on April 22, 2015
Decision dated April 28, 2015 with respect to the hearing by teleconference held on April 16, 2015
Decision dated April 28, 2015 with respect to the hearing held on April 17, 2015
Decision dated April 28, 2015 with respect to the hearing by teleconference held on April 14, 2015
Decision dated April 30, 2015 with respect to the hearing held on April 29, 2015
Decision dated April 28, 2015 with respect to the hearing held on April 17, 2015
Decision dated April 30, 2015 with respect to the written hearing held on April 16, 2015
Decision dated May 1, 2015 with respect to the hearing held on April 30, 2015
Decision dated April 30, 2015 with respect to the written hearing held on April 29, 2015
Decision dated June 19, 2015 with respect to the hearing held on April 7, 2015
Decision dated June 22, 2015 with respect to the hearing held on April 10, 2015
Decision dated June 22, 2015 with respect to the hearing held on April 10, 2015

May 2015 Hearings

Decision dated May 4, 2015 with respect to the hearing held on May 1, 2015
Decision dated May 19, 2015 with respect to the hearing held on May 8, 2015
Decision dated May 19, 2015 with respect to the written hearing held on May 15, 2015
Decision dated May 19, 2015 with respect to the written hearing held on May 15, 2015
Decision dated May 25, 2015 with respect to the hearing by teleconference held on May 15, 2015
Decision dated May 25, 2015 with respect to the written hearing held on May 21, 2015
Decision dated May 27, 2015 with respect to the hearing by teleconference held on May 22, 2015
Decision dated June 24, 2015 with respect to the hearing by teleconference held on May 11, 2015
Decision dated June 29, 2015 with respect to the hearing held on May 13, 2015
Decision dated June 30, 2015 with respect to the hearing held on May 13, 2015
Decision dated July 3, 2015 with respect to the hearing held on May 15, 2015

June 2015 Hearings

Decision dated June 15, 2015 with respect to the hearing by teleconference held on June 11, 2015
Decision dated June 23, 2015 with respect to the hearing by teleconference held on June 15, 2015
Decision dated June 23, 2015 with respect to the hearing held on June 15, 2015
Decision dated June 24, 2015 with respect to the hearing held on June 22, 2015
Decision dated June 24, 2015 with respect to the written hearing held on June 22, 2015
Decision dated June 24, 2015 with respect to the hearing by teleconference held on June 22, 2015
Decision dated June 24, 2015 with respect to the hearing by teleconference held on June 15, 2015

July 2015 Hearings

Decision dated July 22, 2015 with respect to the hearing by teleconference held on July 20, 2015
Decision dated July 22, 2015 with respect to the hearing by teleconference held on July 15, 2015
Decision dated July 22, 2015 with respect to the hearing by teleconference held on July 20, 2015
Decision dated July 22, 2015 with respect to the hearing by teleconference held on July 17, 2015
Decision dated July 22, 2015 with respect to the hearing held on July 17, 2015
Decision dated July 22, 2015 with respect to the hearing by teleconference held on July 20, 2015
Decision dated July 30, 2015 with respect to the hearing held on July 27, 2015
Decision dated October 19, 2015 with respect to the written hearing held on July 21, 2015
Decision dated October 19, 2015 with respect to the hearing by teleconference held on July 21, 2015
Decision dated October 19, 2015 with respect to the hearing by teleconference held on July 21, 2015

August 2015 Hearings

Decision dated August 21, 2015 with respect to the hearing by teleconference held on August 17, 2015
Decision dated August 21, 2015 with respect to the hearing by teleconference held on August 17, 2015
Decision dated August 21, 2015 with respect to the hearing held on August 17, 2015
Decision dated August 27, 2015 with respect to the hearing held on August 18, 2015
Decision dated August 31, 2015 with respect to the hearing held on August 18, 2015
Decision dated August 31, 2015 with respect to the hearing by teleconference held on August 18, 2015
Decision dated September 2, 2015 with respect to the hearing by teleconference held on August 19, 2015
Decision dated September 2, 2015 with respect to the hearing by teleconference held on August 19, 2015
Decision dated September 2, 2015 with respect to the hearing held on August 19, 2015
Decision dated September 3, 2015 with respect to the hearing by teleconference held on August 31, 2015
Decision dated October 19, 2015 with respect to the hearing by teleconference held on August 12, 2015
Decision dated April 27, 2016 with respect to the hearing by teleconference held on August 13, 2015

September 2015 Hearings

Decision dated September 3, 2015 with respect to the hearing by teleconference held on September 1, 2015
Decision dated September 3, 2015 with respect to the hearing held on September 1, 2015
Decision dated September 3, 2015 with respect to the written hearing held on September 3, 2015
Decision dated October 19, 2015 with respect to the hearing by teleconference held on September 16, 2015
Decision dated October 19, 2015 with respect to the hearing by teleconference held on September 14, 2015
Decision dated October 13, 2015 with respect to the hearing by teleconference held on September 30, 2015
Decision dated December 17, 2015 with respect to the written hearing held on September 16, 2015

October 2015 Hearings

Decision dated October 13, 2015 with respect to the written hearing held on October 1, 2015
Decision dated October 26, 2015 with respect to the written hearing held on October 22, 2015
Decision dated October 26, 2015 with respect to the hearing held on October 22, 2015
Decision dated November 2, 2015 with respect to the hearing by teleconference held on October 23, 2015
Decision dated November 2, 2015 with respect to the hearing by teleconference held on October 23, 2015
Decision dated December 17, 2015 with respect to the written hearing held on October 8, 2015
Decision dated December 18, 2015 with respect to the written hearing held on October 8, 2015
Decision dated January 26, 2016 with respect to the hearing held on October 6, 2015

November 2015 Hearings

Decision dated November 16, 2015 with respect to the hearing by teleconference held on November 11, 2015
Decision dated November 23, 2015 with respect to the hearing by teleconference on November 13, 2015
Decision dated November 23, 2015 with respect to the hearing held on November 13, 2015
Decision dated November 25, 2015 with respect to the hearing held on November 17, 2015
Decision dated December 9, 2015 with respect to the hearing held on November 26, 2015
Decision dated December 9, 2015 with respect to the hearing by teleconference held on November 25, 2015
Decision dated December 9, 2015 with respect to the hearing by teleconference held on November 25, 2015
Decision dated December 10, 2015 with respect to the hearing held on November 26, 2015
Decision dated December 12, 2015 with respect to the hearing by teleconference held on November 26, 2015
Decision dated December 22, 2015 with respect to the hearing by teleconference held on November 30, 2015
Decision dated December 23, 2015 with respect to the hearing by teleconference held on November 30, 2015
Decision dated December 22, 2015 with respect to the hearing held on November 30, 2015

December 2015 Hearings

Decision dated December 10, 2015 with respect to the written hearing held on December 2, 2015
Decision dated December 12, 2015 with respect to the hearing held on December 2, 2015
Decision dated December 18, 2015 with respect to the written hearing held on December 9, 2015
Decision dated December 21, 2015 with respect to the appeal hearing held on December 9, 2015
Decision dated December 21, 2015 with respect to the appeal hearing held on December 9, 2015
Decision dated December 21, 2015 with respect to the appeal hearing by teleconference held on December 9, 2015
Decision dated December 22, 2015 with respect to the appeal hearing by teleconference held on December 11, 2015
Decision dated December 22, 2015 with respect to the appeal hearing by teleconference held on December 11, 2015
Decision dated May 4, 2016 with respect to the hearing by teleconference held on December 2 and December 8, 2015

January 2016 Hearings

Decision dated January 19, 2016 with respect to the written hearing held on January 15, 2016
Decision dated February 4, 2016 with respect to the teleconference hearing held on January 25, 2016
Decision dated February 4, 2016 with respect to the written hearing held on January 25, 2016
Decision dated February 4, 2016 with respect to the teleconference hearing held on January 26, 2016
Decision dated February 4, 2016 with respect to the hearing held on January 29, 2016
Decision dated February 18, 2016 with respect to the written hearing held on January 13, 2016
Decision dated February 29, 2016 with respect to the teleconference hearing held on January 13, 2016
Decision dated February 29, 2016 with respect to the hearing held on January 14, 2016
Decision dated April 27, 2016 with respect to the hearing held on January 14, 2016

February 2016 Hearings

Decision dated February 18, 2016 with respect to the teleconference hearing held on February 5, 2016
Decision dated February 26, 2016 with respect to the hearing held on February 18, 2016
Decision dated February 26, 2016 with respect to the teleconference hearing held on February 18, 2016
Decision dated March 4, 2016 with respect to the teleconference hearing held on February 11, 2016
Decision dated March 3, 2016 with respect to the written hearing held on February 11, 2016
Decision dated March 4, 2016 with respect to the written hearing held on February 18, 2016
Decision dated March 18, 2016 with respect to the hearing held on February 8, 2016
Decision dated March 18, 2016 with respect to the hearing held on February 9, 2016
Decision dated March 18, 2016 with respect to the hearing held on February 9, 2016
Decision dated March 15, 2016 with respect to the hearing held on February 18, 2016
Decision dated April 26, 2016 with respect to the hearing by teleconference held on January 14 and February 26, 2016
Decision dated May 26, 2016 with respect to the hearing held on February 29, 2016

April 2016 Hearings

Decision dated May 19, 2016 with respect to the hearing by teleconference on October 5, 2015, January 27, February 10, and April 5, 2016
Decision dated June 10, 2016 with respect to the written hearing held on April 28, 2016

May 2016 Hearings

Decision dated May 25, 2016 with respect to the written hearing held on May 5, 2016
Decision dated June 1, 2016 with respect to the hearing by teleconference held on May 16, 2016
Decision dated June 3, 2016 with respect to the hearing held on May 16, 2016

June 2016 Hearings

Decision dated June 17, 2016 with respect to the hearing by teleconference held on June 13, 2016
Decision dated June 24, 2016 with respect to the hearing by teleconference held on June 20, 2016

September 2016 Hearings

Decision dated October 12, 2016 with respect to the hearing by teleconference held on September 27, 2016

Appeal Hearing Reference Materials

Regulatory Decisions Related to First Leaside Securities Inc.

Recent Past Insolvencies of MFDA IPC member firms:



On May 31, 2013, the Mutual Fund Dealers Association of Canada (“MFDA”) suspended the rights and privileges of MFDA membership of W.H. Stuart Mutuals Ltd. (“W.H. Stuart”). The suspension followed previous orders and investigations by the MFDA in respect of W.H. Stuart and its principal, Marilyn Dianne Stuart (“Stuart”). W.H. Stuart customer accounts were transferred to Keybase Financial Group Inc. (“Keybase”), an MFDA Member.

For more information regarding the W.H. Stuart matter, please see the Enforcement Section of the MFDA website.

The following documents are intended to assist W.H. Stuart customers with the claims process of the MFDA IPC.

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