Dealer Trade Matching Statements

Dealer Trade Matching Statements

Firm

Posted

Statement Date

Signed by

Contact

Acker Finley17/07/2013UndatedMarian Buklis – Chief Compliance OfficerMarian Buklis
(416) 777-9636
Acumen Capital Finance Partners Limited18/06/201301/09/2007

Myja Miller, Chief Financial Officer & Chief Operating OfficerMyja Miller
(403) 571-0308
AltaCorp Capital Inc.12/11/2017UndatedDonna J. Mack, Chief Compliance OfficerGail O’Connor
(403) 539-8629
Donna Mack
(403) 539-8579
Altus Securities Inc.16/08/2013UndatedPaul Jelec, Chief Compliance OfficerGregg Blaha
(416) 369-3025
B2B Bank Securities Services Inc.06/12/201305/12/2013Brian Prosser, Chief Compliance OfficerHugh Cameron
(416) 413-7259
Bank of America Merrill Lynch, Merrill Lynch Canada Inc.25/06/201304/09/2007Mark Dickerson, Corporate SecretaryDoug Butters
(416) 369-3953
Barclays Capital Canada Inc. 19/06/201306/2012John Kennedy, Chief Compliance OfficerJohn Kennedy
(416) 863-8927
BBS Securities Inc.05/02/200910/10/2008Bardya Ziaian, President & CEOBardya Ziaian
(416) 235-1227
Beacon Securities Limited22/11/201302/11/2012Alistair Maxwell, Chairman & CEOPatrick Mills
(416) 507-3960
BMO Nesbitt Burns Inc.22/08/201316/08/2013Tino Perciballi, Managing DirectorRoseMarie Stillie
(416) 552-7832
Brant Securities Limited24/10/2007UndatedKeith McMeekin, President & Chief Executive OfficerKeith McMeekin
(416) 596-4596
Brookfield Financial Corp.24/03/2011UndatedBrydon Cruise, Chief Compliance OfficerMark Murski
(416) 956-5252
Burgeonvest Securities Limited02/10/2007UndatedMario Frankovich, President & CEOMario Frankovich
(905) 528-6505
Byron Securities Limited22/11/201301/02/2011Geoff Clarke, President & Chief Operating OfficerByron Securities
(416) 867 9800
Caldwell Securities Ltd.09/10/2007UndatedSally Haldenby Haba, VPSally Haldenby Haba
(416) 207-0933
Canaccord Genuity Corp.23/11/201310/10/2013Matt Gaasenbeek, President
Canadian ShareOwner Investments Inc.25/11/201325/11/2013Helen Hsia, Chief Compliance OfficerHelen Hsia
(416) 848-9405
Casgrain & Company Limited26/06/201301/09/2007

André Zanga, Vice President & Chief Financial OfficerAndré Zanga
(514) 871-8080
CIBC World Markets Inc.27/11/2013UndatedWayne Ralph, Senior Vice-President CIBC, Wholesale/Brokerage OperationsSusan Fleming
(416) 681-4494
Citigroup Global Markets Canada Inc.19/09/2007UndatedDavid A. Carson, Chief Operating OfficerDavid A. Carson
(416) 866-2294
Citigroup Global Markets Inc.28/09/2007UndatedGary Probert, Managing DirectorDavid A. Carson
(416) 866-2294
Citigroup Global Markets Limited27/09/2007UndatedCatherine Munro, Managing DirectorDavid A. Carson
(416) 866-2294
Clarus Securities Inc.26/11/201311/2013Jim Christodoulis, Chief Executive OfficerTom Monahas
(416) 343-2783
Cormark Securities Inc.16/08/2013UndatedLou D’Souza LL.B., Vice-President ComplianceLou D’Souza
(416) 943-6493
Credit Suisse Securities (Canada), Inc.25/06/2013UndatedCraig Henshaw, Chief Operating OfficerNick Pomponio
(416) 352-4681
D&D Securities Company25/11/201325/11/2013Patrick Lilly, President, CEO, & CCOPatrick Lilly
(416) 369-6929
Desjardins Securities Inc.05/09/201728/08/2017Radek Loudin, Chief Compliance OfficerOlivia De Laleu
514-281-2244 / 1-877-780-1171 # 506 2030
Deutsche Bank AG Canada Branch03/07/201401/07/2013Scott Lampard, President & Chief Executive OfficerJohanna O’Reilly
(416) 682-8243
Deutsche Bank Securities Limited03/07/201401/07/2013Scott Lampard, President & Chief Executive OfficerJohanna O’Reilly
(416) 682-8243
Dundee Securities Ltd.06/18/201302/2011Robert Sellars, Chief Operating Officer & Chief Executive OfficerLouis Cavalaris III
(416) 350-3057
e3m Investments Inc.31/12/200705/07/2007Robert Goldberg, President and Chief Executive Officer & William Oates, CFORobert Goldberg
(416) 972-7490
Edward Jones11/09/201309/09/2013Doug Bennett, Principal Operations & ServicesCan-CashCredit-Team@edwardjones.com
Emerging Equities Inc.28/06/201314/09/2009Senada Russell-Baker, Vice PresidentSenada Russell-Baker
(403) 216-9345
Euro Pacific Canada Inc..15/08/2013UndatedDavid Cusson, CEOCrissa Pakkidis
(416) 933-3349
Fidelity Clearing Canada ULC.12/05/201604/04/2016Bryan Moffitt, Chief Operating OfficerJason Chapman
(416) 216-2610
FirstEnergy Capital Corp.23/11/201301/01/2011Ruby Wallis, Chief Operating OfficerRuby Wallis
(403) 262-0631
Fonds des professionnels – Gestion privée inc. (French only)19/08/201319/08/2013André Sirard, Président et chef de la directionJean-François Levasseur
(514) 350-5169
Fin-XO Securities Inc.16/08/201321/06/2010Guy Dufresne, 1st Vice PresidentFrançois Demers
or Claude Raad (514) 875-5822
Foster & Associates Financial Services Inc.06/18/201306/18/2013Tony Manning, Vice President, CCOTony Manning
(416) 369-3189
G-Trade Services LLC18/06/201318/06/2013Bea Ordonez, Chief Operating OfficerBea Ordonez
(212) 237-0434
Generation Advisors Inc.04/12/2018UndatedRandall Abramson, PresidentAdam Abramson
(416) 956-9615
Global MaxFin Capital Inc.22/05/2012UndatedKarim Allani, Chief Financial OfficerArman Pekel
(416) 642-3531
Global Securities Corporation20/06/201321/09/2007Joya Baba, Vice-President, OperationsJoya Baba
(604) 443-7069
GMP Securities L.P.18/06/201316/01/2012Harris Fricker, CEOChris Hill
(416) 943-6655
Goldman Sachs Canada Inc.28/09/2007UndatedStefano Zuliani, Chief Compliance OfficerStefano Zuliani
(416) 343-8763
Hampton Securities Ltd.16/08/201322/06/2011Cheryl de Montigny, Chief Compliance OfficerDavid Lister
(416) 862-8654
Haywood Securities Inc.29/07/2019UndatedBruce Thompson, Chief Compliance OfficerMark Maisonville
(604) 697-7105
HSBC Securities (Canada) Inc.20/05/2014UndatedMichael A. Williams, Chief Operating OfficerMichael A Williams
(416) 868-3388
Hugues Ouimet & Associates Inc.05/10/2007UndatedHugues Ouimet, PresidentHélène Dubé
(514) 843-5050
Incapital Canada ULC29/10/2013UndatedJehred Ross, Chief Compliance OfficerJehred Ross
(416) 507-3660
Industrielle Alliance Valeurs Mobilières inc. (in French only)19/06/201313/01/2012Richard Legault, PrésidentEmail
Instinet Canada Limited20/08/2013UndatedKenenth J. Klepacki, Chief Operating OfficerKen Klepacki
(416) 304-6365
Integral Wealth Securities26/06/2013UndatedTom Wu, CFOTom Wu
(416) 203-5845
IPC Securities Corporation16/10/200715/10/2007Steve R. Elliott, Vice President, Chief Compliance Officeremail
(905) 212-0945
ITG Canada Corp.18/06/201328/08/2007Nicholas Thadaney, CEOKuno Tucker
(416) 874-0830
Jacob Securities31/07/2012UndatedSasha Jacob, President and CEOSasha Jacob
(416) 866-8304
Jennings Capital Inc.25/06/2013UndatedAnn McIntosh, Chief Compliance OfficerAnn McIntosh
(416) 304-2194
Jitneytrade Inc.28/07/201427/08/2013Jean-François Sabourin, President and CEOJean-Francois Sabourin
(514) 985-8086
Jordan Capital Markets Inc.25/11/2013UndatedWilliam B. Walker, CCOBrent Walker
(778) 373-4123
J.P. Morgan Securities Canada Inc.01/10/2007UndatedSara Collins, Chief Financial OfficerAngie Hodgson
(416) 981-9135
Kernaghan & Partners Ltd.13/01/2016UndatedMark Van Remortel, CEO & UDPMark Van Remortel
(416) 465-0586
Kingsdale Capital Markets Inc.07/10/2009UndatedAnita Tyler, VP Operations/CCOAnita Tyler
(416) 867-4563
Laurentian Bank Securities15/08/2013UndatedYves Ruest, Vice President, Finance and Administration, Chief Financial Officer, Chief Compliance OfficerYves Ruest
(514) 350-3070
Lightyear Capital Inc.25/11/2013UndatedLouise M. Duchesne, Chief Compliance OfficerLouise M. Duchesne
(403) 218-1409
Liquidnet Canada Inc.21/08/201920/08/2019Jay Lee, Head of CanadaMuneeb Ahsan
416-594-2453
Loewen, Ondaatje, McCutcheon Limited (LOM)05/07/200708/06/2007Robert Matthews, Chief Compliance OfficerGreg Hartman
(416) 964-4481
MPartners Inc.19/09/2007UndatedJohanna O’Reilly, Chief Compliance Officer & VP Operationshr@mpartners.ca
(416) 603-7381 ext 231
MacDougall, MacDougall & MacTier Inc.21/08/201320/08/2013Noah Billick, General Counsel and Chief Compliance OfficerNoah Billick
(514) 394-3097 or

Mark Saracino
(514) 394-3451

Mackie Research Capital Corporation18/06/2013UndatedPatrick G. Walsh, CEOMark Censale
(416) 863-3829
Macquarie Private Wealth Inc.19/08/201309/05/2011Daniel Bowering, Chief Compliance OfficerDan Bowering
(416) 687-1179
Magna Partners Ltd.15/10/200701/10/2007Nick Abe, Chief Compliance OfficerNick Abe
(416) 640-0590
Maison Placements Canada Inc.18/06/201308/2007Paul D. Aitkens, Chief Compliance OfficerPaul D. Aitkens
(416) 947-6068
Manulife Securities Incorporated20/02/201404/02/2014Rick Annaert, President & Chief Executive OfficerAndy Pauksens
(905) 469-2100 x283532
McLean & Partners Wealth Management Ltd.04/12/201303/12/2013Amanda Bateman,Chief Compliance OfficerAmanda Bateman
(403) 234-6116
MGI Securities Inc.25/11/2013UndatedJames Andrews, CFOJames Andrews
(416) 864-2604
Middlefield Capital Corporation25/11/2013UndatedW. Garth Jestley, Managing Director and Chief Executive OfficerDean Orrico
(416) 847-5347
Morgan Stanley Canada Limited16/08/201326/09/2007George Christie, Executive Director, OperationsGeorge Christie
(416) 943-8330
NBF Securities USA Corp.06/09/200727/08/2007Alain Legris, Executive Vice-president and Chief Financial OfficerSylvia Gad
(514) 868-5457
National Bank Financial Inc.13/09/200727/08/2007Alain Legris, Executive Vice-president and Chief Financial OfficerSylvia Gad
(514) 868-5457
Newedge Canada Inc.25/11/2013UndatedBenoit Carignan,Chief Operating OfficerPatrick Migneron
(514) 841-6294
Ocean Securities Inc.10/12/2007UndatedRobinson Manson, Vice President & CFORobinson Manson
(902) 423-1131
Octagon Capital Corporation06/09/200707/2007Christopher J. Everest, Chief Operating OfficerCheryl de Montigny
(416) 304-7833
Chris Everest
(416) 306-2552
Odlum Brown Limited25/11/201301/03/2013Mary Beck, Vice President ComplianceMary Beck
(604) 844-5301
Paradigm Capital Inc.14/06/2018UndatedMichael Roland, Chief Compliance OfficerMichael Roland
PWL Capital Inc.28/11/201327/11/2013Michael Simioni, Chief Compliance OfficerMichael Simioni
(514) 875.7566 x294
Pavilion Global Markets Ltd.20/03/201303/2013Douglas J. Simsovic, General Counsel & Chief Compliance OfficerDouglas J. Simsovic
(514) 315-5039
Peters & Co. Ltd.25/11/2013UndatedLeslee C. Altin, Chief Compliance OfficerLeslee C. Altin
(403) 261-2227
Pictet Canada L.P.08/07/201308/07/2013David Parsons, Chief Operating Officer & Richard Gaulin, Vice PresidentR Gaulin/S Borgognon
(514) 350-6246
PI Financial Corp.25/06/2013UndatedD. Andrew Murray, Chief Financial OfficerRichard Thomas
(604) 664-3617
Pollitt & Co. Inc.27/09/200709/2007John Christie, CFOJohn Christie
(416) 365-3313
Pope & Company Limited09/07/201307/07/2013Adam Kretschmann, Chief Compliance OfficerAdam Kretschmann
(416) 593-5535
Qtrade Securities Inc.15/08/2013UndatedAndy Quin, Vice-President, OperationsAndy Quinn
(604) 605-4209
Questrade, Inc15/08/2013UndatedMike Butcher, Vice President, OperationsDan Brough
(416) 227-9876 x5184
Raymond James Ltd.09/08/201309/08/2013Lloyd Costley, Chief Operating OfficerElaine Partridge
(604) 654-1291
RBC Dominion Securities Inc. (RBC Capital Markets)22/06/200718/04/2007Bruce MacDonald, Chief Operating OfficerN/A
Rothenberg Capital Management Inc.23/07/2016UndatedRobert Rothenberg, PresidentRobert Rothenberg
(403) 228-2378
Royal Bank of Canada27/09/2007UndatedBruce MacDonald, Executive Vice PresidentRBCCM
Richardson GMP Limited20/08/201316/01/2012Harris Fricker, CEOLeo Purcell
(416) 943-6633
Scotia Capital Inc.27/09/2007UndatedNorman K. J. Graham, Senior Vice President Securities OperationJesse Cruz
(416) 863-5935
SG Americas Securities LLC01/10/200728/09/2007Michael Walsh, Managing DirectorDonna Schirloff
(212) 278-4172
Sherbrooke Street Capital (SSC) Inc.16/10/200727/09/2007Alberto Galeone, CEO, Treasurerand DirectorScott Wilson
(514) 937-4226
State Street Global Markets Canada Inc.25/06/2013UndatedAndrew Carrington, President and CEOJudy Bubis
(647) 775-6004
Stifel Nicolaus Canada Inc. 03/01/2008UndatedLisa Edwards, Vice President and Chief Compliance OfficerLisa Edwards
(416) 815-0888
Stonecap Securities Inc.16/06/201006/04/2010Charlie Pennock, CCOCharles Pennock
(416) 342-9940
TD Bank Financial Group08/12/201318/07/2007Bob O’Leary, Managing DirectorBob O’Leary
(416) 983-3602
TD Securities Inc.08/12/201312/07/2007Bob O’Leary, Managing DirectorBob O’Leary
(416) 983-3602
Toll Cross Securities Inc.04/11/201111/2011Marc Bouchard, Compliance OfficerTom Hope
(416) 365-1960
UBS Securities Canada Inc.25/11/2013UndatedJames Stuart, COOWalker Wentworth
W.D. Latimer Co. Limited26/06/201326/07/2007Sesto DeLuca, PresidentJodi Hale
(416) 366-0534
Wells Fargo Securities Canada, Ltd.20/01/201620/01/2016Mark Censale, Director, ComplianceMark Censale
(416) 775-2013
Wolverton Securities Ltd.16/08/201309/2007Alexandra Williams, Chief Compliance OfficerRahim Rajwani
(604) 605-6336

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