Criminal Enforcement

The Commission’s Criminal Investigations Branch investigates securities related offences in the Criminal Code and the offences in section 155 of the Securities Act.

After an investigation, the Criminal Investigations Branch refers the case to BC Crown Counsel for charge assessment. If charges are approved, Crown Counsel prosecute the case in court.

If a person is convicted, the court can impose various penalties including jail, fines, disgorgement and restitution. Securities Act offences carry a maximum of three years jail and a fine of up to $3 million per offence.

Contact Us

If you have a complaint or concern about an individual or issuer in British Columbia, and you believe it is within the BCSC's jurisdiction, please call 1-800-373-6393, email or see our Contact Us page.

Current & Historical Prosecutions

The list below provides information on cases investigated by the Commission’s Criminal Investigations Branch that resulted in court proceedings. The list includes current and recently concluded proceedings in which the person pleaded guilty or was convicted at trial. 

NOTE: Where applicable, names below are also linked to the BCSC’s Disciplined Persons List for information about historical administrative (non-criminal) proceedings at the BCSC.

Name Date Event Supporting Documents
CHO, Won San Shen (Craig) June 13, 2017 Arrest BCSC News Release  
DHANANI, Ayaz (Alex) February 13, 2018
March 5, 2018
October 2, 2017
Trial - A
Trial - B
BCSC News Release
FIGUEIREDO, Rui Armando (Roy) June 13, 2017
February 5, 2018
BCSC News Release
MANGAT, Ravinderpaul Singh (Rob)  August 5, 2017 Arrest BCSC News Release  
MINNIE, James Waring (Terry) October 16, 2017 Arrest BCSC News Release  
NIELSEN, Frederick Johnathon  June 2, 2015
May 23, 2017
September 25, 2017
Guilty Plea
BCSC News Release