Government of New Brunswick

Overview

We are a crown corporation that regulates the capital markets. If you believe an adviser, broker or a company is not complying with securities regulations, the Commission would like you to know your options.

Eligibility

Filing a securities-related complaint can be done by anyone who believes that a professional who handles investments has not obeyed the rules, acted in your best interest or treated you fairly. You can make a complaint by telephone, email or on-line.

Anyone who suspects they have been approached with a securities fraud or have been a victim of securities fraud should also report this to the Commission using this service.

Description

You can contact the Commission to:
• answer general questions about investment products and services
• ask if a firm or representative is registered
• ask if an individual or firm has ever been disciplined
• find out options for pursuing a complaint and which organization may be most helpful
• file a complaint

The Commission can
• enforce compliance with securities legislation
• act against misconduct, including removing from the securities market those who do not comply with the law or who cheat investors
• identify options that are available to get your money back

The Commission cannot:
• undo a transaction
• give advice on an investment
• give legal advice
• comment on an ongoing investigation

We’re here to help. Contact us for assistance.

Contact Information Email Location
Saint John