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 » 
July 21, 2014
10:00 AM

Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: JEAT
Note: H. Craig/C. Rossi in attendance for Staff
August 8, 2014
10:00 AM

Pro-Financial Asset Management Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for staff
August 18, 2014
10:30 AM

Yoannou, Paul,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
August 21, 2014
10:00 AM

McQuillen, Marc,
Section: s. 21.7, 21.1(4) and 127
Panel: JEAT
Note: S. Chandra in attendance for Staff
August 26 - 27, 2014
10:00 AM

Khan, Fawad Ul Haq, Khan Trading Associates Inc. Carrying On Business As Money Plus,
Section: s. 60 and 60.1 of the Commodity Futures Act
Panel: VK/JDC
Note: T. Center/A. Huculak in attendance for staff
August 28 - 29, 2014
10:00 AM

Wealth Stewards Portfolio Management Inc., Lucas, Sushila,
Section: s. 8(2)
Panel: JEAT
Note: M. Vaillancourt in attendance for staff
August 28, 2014
10:00 AM

2196768 Ontario Ltd. (carrying on business as RARE Investments), Dookhie, Ramadhar, Sunderji, Adil, Todorov, Evgueni,
Section: 127
Panel: EPK
Note: D. Campbell in attendance for Staff
September 2 - 8, 2014
10:00 AM

September 10-22, 24-26, 30, October 1-6, 8-10, 14-17, 28-31, November 3, 5-7, 11-17, 19-21, 25-28, December 1, 3-5, 9-15, 17-19, 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, June 9-12, June 17-29, 2015

10:00 a.m.
Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: 127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
September 8, 10-12, 15, 2014
10:00 AM

Newer Technologies Limited, Pickering, Ryan, Frey, Rodger,
Section: s. 127 and 127.1
Panel: JEAT
Note: B. Shulman in attendance for staff
September 9, 2014
3:00 PM

Summers, Keith MacDonald, Tricoastal Capital Partners LLC, Tricoastal Capital Management Ltd.,
Section: s. 127 and 127.1
Panel: AJL
Note: C. Johnson in attendance for staff
September 9, 2014
3:00 PM

Tricoastal Capital Partners LLC, Tricoastal Capital Management Ltd., Summers, Keith MacDonald,
Section: 127
Panel: AJL
Note: C Johnson in attendance for Staff
September 10, 2014
11:00 AM

Gold-Quest International, Gale, Sandra,
Section: s. 127
Panel: AJL
Note: C. Johnson in attendance for Staff
September 17, 2014


Inspektor, Eric,
Section: 127 and 127.1
Panel: TBA
Note: S. Chandra in attendance for staff
September 18, 2014
10:00 AM

September 19-22, September 24, September 29 - October 3, October 10, October 14 - 20, October 22 - November 3, November 5 - 7 & November 10 - 14, 2014 10:00 AM
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 3, 2014
10:00 AM

October 6, 8 - 20, 22 - 31, 2014, February 2 - 9 & February 11 - 13, 2015  10:00 AM
Black, Conrad M., Boultbee, John A., Atkinson, Peter Y.,
Section: 127 and 127.1
Panel: CP/JNR
Note: J. Superina / J. Friedman in attendance for Staff

Related - Before the Commission



















The Commissioners

Howard I. Wetston, Chair - HIW
James E. A. Turner, Vice-Chair - JEAT
Mary G. Condon, Vice-Chair - MGC
Sinan O. Akdeniz - SOA
Catherine E. Bateman - CEB
James D. Carnwath - JDC
Sarah B. Kavanagh - SBK
Edward P. Kerwin - EPK
Vern Krishna - VK
Deborah Leckman - DL
Alan J. Lenczner - AJL
Christopher Portner - CP
Judith N. Robertson - JNR
AnneMarie Ryan - AMR
Charles Wesley Moore (Wes) Scott - CWMS