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 » 
October 23-24, 2014
9:30 AM

October 27, 2014
1:00 PM

October 28-November 3, November 5-7, November 10-17, December 8 & December 12, 2014
9:30 a.m.
Azeff, Paul, Bobrow, Korin, Finkelstein, Mitchell, Miller, Howard Jeffrey, Cheng, Man Kin (a.k.a. Francis Cheng),
Section: s. 127
Panel: AJL/AMR/CEB
Note: T. Center/ D.Campbell in attendance for Staff
October 27, 2014
2:00 PM

Tang, Weizhen,
Section: s. 127
Panel: CP
Note: C. Rossi in attendance for staff
October 27, 2014
2:00 PM

Oversea Chinese Fund Limited Partnership, Weizhen Tang and Associates Inc., Weizhen Tang Corp., Tang, Weizhen,
Section: s. 127 and 127.1
Panel: CP
Note: H. Craig in attendance for staff
October 28, 2014
10:00 AM

Black, Conrad M., Boultbee, John A., Atkinson, Peter Y.,
Section: 127 and 127.1
Panel: CP/JNR
Note: A. Perschy / J. Friedman in attendance for Staff
October 28-31, 2014
10:00 AM

November 3, 5-7, 10, 12-17, 19-21, 25-28, December 1, 3-5, 9-18, 2014, 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
10:00 AM


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
October 30, 2014
2:00 PM

International Strategic Investments, International Strategic Investments Inc., Somin Holdings Inc., Gillani, Nazim, Driscoll, Ryan J.,
Section: s. 127
Panel: JEAT
Note: C. Watson in attendance for Staf
November 3, 2014
10:00 AM

Inspektor, Eric,
Section: 127 and 127.1
Panel: MGC
Note: S. Chandra in attendance for staff
November 4, 2014
3:30 PM

2196768 Ontario Ltd. (carrying on business as RARE Investments), Dookhie, Ramadhar, Sunderji, Adil, Todorov, Evgueni,
Section: s. 127
Panel: EPK
Note: D. Campbell in attendance for Staff
November 6-7, 2014
10:00 AM

Wealth Stewards Portfolio Management Inc., Lucas, Sushila,
Section: s. 8(2)
Panel: CP
Note: M. Vaillancourt in attendance for staff
November 20, 2014
10:00 AM

Pro-Financial Asset Management Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for Staff
December 1, 2014
10:00 AM

December 3 - 15, 2014 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
January 12, 2015
10:00 AM

January 14-21, 2015

10:00 a.m.

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: JEAT
Note: C. Johnson 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 19-23, 2015
10:00 AM

January 26, 28-30, 2015
A25 Gold Producers Corp., Amar, David, Adams, James Stuart, Amar, Avi,
Section:
Panel: TBA
Note: G. Smyth in attendance for staff
January 26, 2015
10:00 AM

January 28-30, February 2-6 & February 9, 2015
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

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