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 2Next » 
September 19, 2016
10:00 AM

October 20-21 & 24-28, 2016
10:00 a.m.
Black Panther Trading Corporation, Goddard, Charles Robert,
Section: s. 127
Panel: TM/JNR/GWF
Note: K. Wilmut in attendance for Staff
September 27, 2016
11:00 AM

RTG Direct Trading Group Ltd., RTG Direct Trading Limited,
Section: s. 127(1) and 127(10)
Panel: CP
Note: M. Norman in attendance for Staff
September 27, 2016
11:15 AM

Zulutoys Limited , RBOptions,
Section: s. 127(1) and 127(10)
Panel: CP
Note: M. Norman in attendance for Staff
October 5, 2016
10:00 AM

Furtak, Edward , Axton 2010 Finance Corp., Strict Trading Limited, Olsthoorn, Ronald , Trafalgar Associates Limited, Allen, Lorne , Strictrade Marketing Inc.,
Section: s. 127 and 127.1
Panel: JL/DGV/AMR
Note: Y. Chisholm/C. Weiler in attendance for Staff
October 11, 2016
9:00 AM

Waverley Corporate Financial Services Ltd., McDonald, Donald,
Section: s. 8
Panel: DGV/MK/WJF
Note: M. Vaillancourt in attendance for Staff
October 12, 2016
10:00 AM

Kotton, Lance, Titan Equity Group Ltd.,
Section: s. 127
Panel: TBA
Note: P. Foy in attendance for Staff
November 4, 2016
10:00 AM

Blue Gold Holdings Ltd., Blackburn, Derek , Kurichh, Raj , Greening, Nigel ,
Section: s. 127 and 127.1
Panel: AJL/TM/JL
Note: A. Huculak/S. Chandra in attendance for Staff
November 14, 2016
9:00 AM

MM Café Franchise Inc., Techocan International Co. Ltd., 1727350 Ontario Ltd. , Godwin, Marianne, Craig, Dave Garnet, Jordan, Haiyan (Helen) Gao ,
Section: s. 127 and 127.1
Panel: JL
Note: J. Lynch in attendance for Staff
February 22-24, 2017
10:00 AM

February 27-28 & March 10, 2017
10:00 a.m.
Drabinsky, Garth H., Gottlieb, Myron I., Eckstein, Gordon,
Section: s. 127(10)
Panel: TBA
Note: P.Foy/J. Friedman in attendance for Staff
In writing


The Falls Capital Corp., Deercrest Construction Fund Inc., West Karma Ltd., Wharram, Rodney Jack,
Section: s. 127(1) and 127(10)
Panel: TM
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 Brilliante Brasilcan Resources Corp., York Rio Resources Inc., Aidelman, Brian W., Georgiadis, Jason, Taylor, Richard, York, Victor,
Section: s. 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA Uranium308 Resources Inc., Friedman, Michael, Schwartz, George, Robinson, Peter, Khan, Shafi,
Section: s. 127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
TBA Portus Alternative Asset Management Inc., Portus Asset Management Inc., Manor, Boaz, Mendelson, Michael, Labanowich, Michael, Ogg, John,
Section: s. 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA Monaghan, Clifford Todd ,
Section: s. 8 and 21.7
Panel: TBA
Note: M. Britton in attendance for Staff