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 » 
March 9-13, 2015
9:30 AM

A25 Gold Producers Corp., Amar, David, Adams, James Stuart, Amar, Avi,
Section: s. 127 and 127.1
Panel: AJL
Note: G. Smyth in attendance for Staff
March 16, 2015
10:00 AM

March 17, 2015
1:00 p.m.

March 18, 20-23, 25-27, 31, April 1-2, 8-10, 15-20, 22-24, 28-30, May 1-4, 6-8, 13-15, 20-25, 27-29, June 3-5, 9-12 & 17-29, 2015
10:00 a.m.

May 12, 2015
11:30 a.m.
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
March 24, 2015
9:00 AM

2241153 Ontario Inc., Setenterprice, Singh, Sarbjeet , Banik, Dipak , Guerenska, Stoyanka , Nikolov, Sophia , Todorov, Evgueni,
Section: s. 127 and 127.1
Panel: AJL
Note: C. Johnson 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 13, 2015
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: JDC
Note: T. Center/A. Huculak in attendance for Staff
April 13-14, 2015
10:00 AM

Agueci, Eda Marie, Wing, Dennis, Iacono, Santo, Raponi, Josephine, Stephany, Kimberley, Fiorillo, Henry, Fiorini, Giuseppe (Joseph), Serpa, John, Telfer, Ian, Gornitzki, Jacob, Pollen Services Limited,
Section: 127
Panel: EPK/AMR/DL
Note: C. Price / A. Pelletier in attendance for Staff
April 15, 2015
10:00 AM

Spears, Darren, Spears, May,
Section: s. 127(7) and (8)
Panel: CP
Note: C. Price/J. Lynch 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 20, 2015
10:00 AM

Portfolio Capital Inc., Rogerson, David, Hanna-Rogerson, Amy,
Section: 127
Panel: CP
Note: G. Smyth / K. Wilmut 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
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
May 11, 2015
10:00 AM

Phillips, David Charles, Wilson, John Russell,
Section: 127
Panel: EPK
Note: Y. Chisholm/ B. Shulman in attendance for Staff
May 27, 2015
10:00 AM

7997698 Canada Inc. (carrying on business as International Legal and Accounting Services Inc.), World Incubation Centre or WIC (ON), Lee, John (also known as Chin Lee), Huang, Mary (also known as Ning-Sheng Mary Huang),
Section: s. 127(1) and 127(5)
Panel: MGC
Note: G. Smyth in attendance for Staff
May 27, 2015
11:00 AM

B. Shulman in attendance for Staff
Welcome Place Inc., Maxsood, Daniel (a.k.a. Muhammad M. Khan), Zhang, Tao, Ashraf, Talat,
Section: s. 127 and 127.1
Panel: MGC
Note: B. Shulman in attendance for Staff
June 9-12, 2015
10:00 AM

The Gatekeepers of Wealth Inc., Bochner, Joseph,
Section: s. 127 and 127.1
Panel: TBA
Note: G. Smyth in attendance for Staff