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.

OSC tribunal reasons issued since 2004 are also available free of charge on the Canadian Legal Information Institute website (CanLII).

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 1
September 26, 2017
10:00 AM

TCM Investments Ltd. carrying on business as OPTIONRALLY, LFG Investments Ltd., AD Partners Solutions Ltd., InterCapital SM Ltd.,
Section: s. 127 and 127.1
Panel: TM
Note: M. Britton in attendance for Staff
September 26, 2017
11:30 AM

Jawhari, Khalid Walid,
Section: s. 127(1) and 127(10)
Panel: PA
Note: M. Alvaro in attendance for Staff
September 26, 2017
12:00 PM

McClure, David Gregor ,
Section: S. 127(1) and 127(10)
Panel: PA
Note: M. Alvaro in attendance for Staff
October 2, 2017
10:00 AM

Crystal Wealth Management System Limited, Smith, Clayton, CLJ Everest Ltd, 1150752 Ontario Limited, Crystal Wealth Media Strategy, Crystal Wealth Mortgage Strategy, Crystal Enlightened Resource & Precious Metal Fund, Crystal Wealth Medical Strategy, Crystal Wealth Enlightened Factoring Strategy, ACM Growth Fund, ACM Income Fund, Crystal Wealth High Yield Mortgage Strategy, Crystal Enlightened Bullion Fund, Absolute Sustainable Property Fund, Absolute Sustainable Dividend Fund, Crystal Wealth Enlightened Hedge Fund, Crystal Wealth Infrastructure Strategy, Crystal Wealth Conscious Capital Strategy, Crystal Wealth Retirement One Fund,
Section: s. 127
Panel: JL
Note: C. Weiler in attendance for Staff
October 11, 2017
10:00 AM

Pro-Financial Asset Management Inc., McKinnon, Stuart, Farrell, John,
Section: s. 144
Panel: AMR/TM/JL
Note: D. Ferris/C. Weiler in attendance for Staff
October 24-26, 2017
10:00 AM

Quadrexx Hedge Capital Management Ltd., Quadrexx Secured Assets Inc., Nagy, Miklos, Sanfelice, Tony,
Section: s. 127
Panel: TM/AMR/PA
Note: D. Ferris / M. Vaillancourt in attendance for staff
November 8, 2017
10:30 AM

November 9, 2017
10:00 a.m.
Marek, Earl,
Section: s. 8 and 21.7
Panel: TM
Note:

A. Qian/C. Rossi in attendance for Staff

November 15, 2017
10:00 AM

Cheng, Benedict, Soave, Frank, Rothstein, John David, Tremblay, Eric,
Section: s. 127 and 127.1
Panel: JL
Note: Y. Chisholm/J. Lynch in attendance for Staff
November 16, 2017
10:00 AM

Pro-Financial Asset Management Inc., McKinnon, Stuart, Farrell, John,
Section: s. 127 and 127.1
Panel: AMR/TM/JL
Note: D. Ferris/C. Weiler in attendance for Staff
November 17, 2017
10:00 AM

Techocan International Co. Ltd., Jordan, Haiyan (Helen) Gao ,
Section: s. 144
Panel: TM/PA/FK
Note:

L. Fuerst / G. Smyth in attendance for Staff

November 20, 2017
10:00 AM

November 27, 2017
10:00 AM

January 17-19, 2018
10:00 AM
Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: DGV/DL/GF
Note: H. Craig/C. Rossi/M. Alvaro in attendance for Staff
December 18, 2017
10:00 AM

January 15-16, 22, 24, 25-26, 29-31 and February 1-2, 2018
Meharchand, Dennis L., , Valt.X Holdings Inc,
Section: s. 127
Panel: TM/DL/RPH
Note: C. Johnson in attendance for Staff
In writing


Eaglemark Ventures, LLC, Falcon Holdings, LLC,, Lian, Richard (Also Known As Richard Terry Ruuska) , Keller, Enna M. ,
Section: s. 127(1) and 127(10)
Panel: MJS
Note:

K. Wilmut in attendance for Staff

TBA Yaqeen, Abdullah Yama,
Section: s. 8(2)
Panel: TBA
Note: J. Superina in attendance for Staff
TBA Money Gate Mortgage Investment Corporation, Money Gate Corp., Katebian, Morteza, Katebian, Payam,
Section: s. 127
Panel: TBA
Note: A. Heydon/M. Vaillancourt in attendance for Staff