OSC Proceedings

Before the Commission


Under section 127 of the Securities Act (Ontario), the OSC can initiate proceedings against individuals or companies (the respondents) suspected of violating securities law or acting contrary to the public interest.

A proceeding is initiated when a notice of hearing is issued and a statement of allegations is filed. It is heard before an administrative tribunal of the Commission. The Commission can impose sanctions such as financial penalties and bans on trading and other activities in the capital markets.

For documents relating to open and completed proceedings, see All Commission Proceedings.

Commission hearings are generally open to the public. They are held at the OSC’s offices:

Ontario Securities Commission
20 Queen Street West
17th floor
Toronto, ON
M5H 3S8

Upcoming Proceedings

Date and Time Proceeding Information
Page 1 of 3Next » 
December 16 - 18, 2014
10:00 AM

January 6 - 7, 2015  6:30AM
January 8 - 9, 12, March 17 - 23, 25 - 27, 31, April 1 - 2, 8 - 10, 14 - 20, 22 - 24, 28 - 30, May 1 - 4, 6 - 8, 12 - 15, 20 - 22, 26 - 29, June 3 - 5, 9 - 12 & 17 - 29, 2015
10:00AM
Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: JDC/EPK/DL
Note: H. Craig/C. Rossi in attendance for Staff
December 18, 2014
10:00 AM

GITC Investments and Trading Canada Ltd. carrying on business as GITC Investments and Trading Canada Inc., GITC, GITC Inc., Asfour, Amal Tawfiq ,
Section: s. 127(7) and (8)
Panel: AJL
Note: G. Smyth in attendance for staff
December 18, 2014
2:00 PM

Spears, Darren, Spears, May,
Section: s. 127(7) and (8)
Panel: CP
Note: C. Price/J. Lynch in attendance for staff
January 12, 2015
10:00 AM

January 14 - 21, 2015
10:00 AM
Bluestream Capital Corporation, Bluestream International Investments Inc., Krown Consulting Corp., 1859585 Ontario Ltd. (Operating as Sovereign International Investments), Balazs, Peter,
Section: s. 127 and 127.1
Panel: AJL
Note: C. Johnson in attendance for staff
January 14, 2015
9:00 AM

Pro-Financial Asset Management Inc., McKinnon, Stuart, Farrell, John,
Section: s. 127 and 127.1
Panel: JEAT
Note: D. Ferris in attendance for Staff
January 14, 2015
9:00 AM

Pro-Financial Asset Management Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for Staff
January 15, 2015
10:00 AM

Pariak-Lukic, Lucy Marie,
Section: 8 and 21.7
Panel: CP
Note: K. Wilmut in attendance for Staff
January 26, 2015
10:00 AM

January 28-30, February 2-6 & February 9, 2015  10:00AM
Ground Wealth Inc., Dunk, Michelle, Smith, Adrion, Webster, Joel, De Boer, Doug, Armadillo Energy Inc., Armadillo Energy, Inc., Armadillo Energy, LLC (aka Armadillo Energy LLC),
Section: 127
Panel: CP
Note: J. Feasby in attendance for Staff
February 9, 2015
10:00 AM

Powerwater Systems, Inc., Cleworth, Duncan, Powerwater USA Ltd.,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
February 11, 2015
10:00 AM

Bradon Technologies Ltd., Compta, Joseph, Ensign Corporate Communications Inc., German, Timothy,
Section: s. 127 and 127.1
Panel: JEAT
Note: B. Shulman in attendance for staff
February 25 - 27, 2015
10:00 AM

March 5 - 6, 9 - 13 2015   10:00AM
A25 Gold Producers Corp., Amar, David, Adams, James Stuart, Amar, Avi,
Section: s. 127 and 127.1
Panel: TBA
Note: G. Smyth in attendance for staff
April 8, 2015
10:00 AM

April 9, 13-17, 20, 22-24 & April 27, 2015
10:00 a.m.
Inspektor, Eric,
Section: 127 and 127.1
Panel: MGC
Note: S. Chandra in attendance for staff
April 20, 2015
10:00 AM

April 22-30, May 1-4 & May 6-15, 2015
10:00 a.m.
Quadrexx Hedge Capital Management Ltd., Quadrexx Secured Assets Inc., Nagy, Miklos, Sanfelice, Tony,
Section: s. 127
Panel: CP
Note: D. Ferris / M. Vaillancourt in attendance for staff
April 27, 2015
9:00 AM

Oversea Chinese Fund Limited Partnership, Weizhen Tang and Associates Inc., Weizhen Tang Corp., Tang, Weizhen,
Section: s. 127 and 127.1
Panel: CP
Note: M. Fairburn in attendance for Staff
April 27, 2015
9:00 AM

Tang, Weizhen,
Section: s. 127(1) and 127(10)
Panel: CP
Note: M. Fairburn in attendance for Staff

Related Information



















The Commissioners

Howard I. Wetston, Chair - HIW
James E. A. Turner, Vice-Chair - JEAT
Monica Kowal, Vice-Chair - MK
Catherine E. Bateman - CEB
James D. Carnwath - JDC
Mary G. Condon - MGC
Sarah B. Kavanagh - SBK
Edward P. Kerwin - EPK
Deborah Leckman - DL
Alan J. Lenczner - AJL
Christopher Portner - CP
Judith N. Robertson - JNR
AnneMarie Ryan - AMR