Donne Smith is a chair (chair of new brunswick panel) at the Capital Markets Tribunal with 1 decisions on record from 2005 to 2005. Key areas include administrative law, securities law.

What tribunal does Donne Smith sit on?

Donne Smith sits on the Capital Markets Tribunal.

What areas of law does Donne Smith decide?

Donne Smith's most common areas include Administrative Law (1 decisions), Securities Law (1 decisions). Donne Smith has handled 1 decisions across 2 areas.

How many decisions has Donne Smith made?

Donne Smith has 1 decisions on record from 2005 to 2005.

Who frequently appears before Donne Smith?

Representatives who frequently appear before Donne Smith include Benjamin Morof, Christine Vogelsang, Peter Dunne.

/Adjudicator

minicounsel

Donne Smith — Chair (Chair of New Brunswick Panel)

Administrative Law

Securities Law

Donne Smith

Chair (Chair of New Brunswick Panel)·Capital Markets Tribunal·Since 2005

cases · 1 yrs · OCMT

Trial

Motion

Costs

Appeal

Sentencing

Chair (Chair of New Brunswick Panel)· 1

Settlement agreement approved for U.S. internet broker that traded for Canadians without registration.

The respondent, a U.S.-based internet securities firm, traded U.S. securities on behalf of Canadian residents without being registered in any Canadian jurisdiction.

The respondent acknowledged the breach, which it claimed was due to a good faith but erroneous belief that its non-solicitation of Canadian residents exempted it from registration.

A joint hearing of multiple provincial securities commissions was held to consider a settlement agreement.

The commissions approved the settlement agreement, which included a payment of $550,000 CAD and an undertaking by the respondent's Canadian affiliate to seek registration, finding the sanctions to be in the public interest and proportionate to the misconduct.

OptionsXpress, Inc., 2005 ONSEC 12

for optionsXpress

Benjamin MorofCounsel
1 appearance

for optionsXpress, Inc.

Christine VogelsangCounsel
1 appearance
Peter DunneCounsel
1 appearance

for the AMF Staff

Richard ProulxCounsel
1 appearance

for the ASC Staff

Terry HutcheonCounsel
1 appearance

for the MSC Staff

Kimberly LaycockCounsel
1 appearance

for the NBSC Staff

Jake van der LaanCounsel
1 appearance
Lucie Mathurin-RingCounsel
1 appearance
Suzanne BallCounsel
1 appearance

for the NSSC Staff

Scott PeacockCounsel
1 appearance

for the OSC Staff

Gregory MacKenzieCounsel
1 appearance
Martha RafuseCounsel
1 appearance

Decisions

Years active

Tribunals

1.0

cases/mo

OCMT1(100%)

Decision types

trial

Terry Hutcheon

Suzanne Ball

Scott Peacock

Richard Proulx

Peter Dunne

Martha Rafuse

Lucie Mathurin-Ring

Kimberly Laycock

Jake van der Laan

Gregory MacKenzie

Christine Vogelsang

Benjamin Morof

Robert Davis

Paul M. Moore

Marc Rosenstein

Lynne McCarthy

Les O'Brien

Jean-Pierre Major

Glenda A. Campbell

Donne Smith

David Knight

David Hashey

David Betts

Daren Baxter

Bob McEwan

Alain Gélinas