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, Ontario

Upcoming Proceedings

Date and Time Proceeding Information
Page 1 of 7Next » 
February 14, 2012
3:00 PM		 Ameron Oil and Gas Ltd., MX-IV, Ltd., Knowles, Gaye, Knowles, Giorgio, Howorth, Anthony, Tsatskin, Vadim, Grinshpun, Mark, Pasternak, Oded, Walker, Allan,
Section: 127
Panel: MGC
Note: C. Rossi in attendance for Staff
February 15, 2012
10:30 AM		 Boock, Irwin, DeFreitas, Stanton, Wong, Jason, Allie, Saudia, Dubinsky, Alena, Khodjiaints, Alex, Select American Transfer Co., Leasesmart, Inc., Advanced Growing Systems, Inc., International Energy Ltd., Nutrione Corporation, Pocketop Corporation, Asia Telecom Ltd., Pharm Control Ltd., Cambridge Resources Corporation, Compushare Transfer Corporation, Federated Purchaser, Inc., TCC Industries, Inc.,, First National Entertainment Corporation, WGI Holdings, Inc., Enerbrite Technologies Group,
Section: 127 and 127.1
Panel: VK
Note: D. Campbell in attendance for Staff
February 15-17, 2012
10:00 AM		 Maitland Capital Ltd., Grossman, Abraham Herbert (a.k.a. Allen Grossman), Ulfan, Hanouch, Waddingham, Leonard, Garner, Ron, Valde, Gordon, Hyacinthe, Marianne, Cassidy, Diana, Catone, Ron, Lanys, Steven, McKenzie, Roger, Mezinski, Tom, Rouse, William, Snow, Jason,
Section: 127 and 127.1
Panel: EPK
Note: D. Ferris in attendance for Staff
February 15, 2012
10:00 AM		 Waheed, Jowdat, Walter, Bruce,
Section: 127
Panel: MGC
Note: J. Lynch in attendance for Staff
February 16, 2012
10:00 AM		 American Heritage Stock Transfer Inc., American Heritage Stock Transfer, Inc., BFM Industries Inc., Denver Gardner Inc., Winick, Sandy, McCarthy, Andrea Lee, Curry, Kolt, Mateyak, Laura,
Section: 127
Panel: MGC
Note: J. Feasby in attendance for Staff
February 16-17, 2012
10:00 AM		 Boock, Irwin, DeFreitas, Stanton, Wong, Jason, Allie, Saudia, Dubinsky, Alena, Khodjiaints, Alex, Select American Transfer Co., Leasesmart, Inc., Advanced Growing Systems, Inc., International Energy Ltd., Nutrione Corporation, Pocketop Corporation, Asia Telecom Ltd., Pharm Control Ltd., Cambridge Resources Corporation, Compushare Transfer Corporation, Federated Purchaser, Inc., TCC Industries, Inc.,, First National Entertainment Corporation, WGI Holdings, Inc., Enerbrite Technologies Group,
Section: 127 and 127.1
Panel: VK
Note: D. Campbell in attendance for Staff
February 16, 2012
10:00 AM		 Winick, Sandy, McCarthy, Andrea Lee, Curry, Kolt, Mateyak, Laura, Curry, Gregory J., American Heritage Stock Transfer Inc., American Heritage Stock Transfer, Inc., BFM Industries Inc., Liquid Gold International Inc., Nanotech Industries Inc.,
Section: 127
Panel: MGC
Note: J. Feasby in attendance for Staff
February 21, 2012
11:00 AM		 Boock, Irwin, DeFreitas, Stanton, Wong, Jason, Allie, Saudia, Dubinsky, Alena, Khodjiaints, Alex, Select American Transfer Co., Leasesmart, Inc., Advanced Growing Systems, Inc., International Energy Ltd., Nutrione Corporation, Pocketop Corporation, Asia Telecom Ltd., Pharm Control Ltd., Cambridge Resources Corporation, Compushare Transfer Corporation, Federated Purchaser, Inc., TCC Industries, Inc.,, First National Entertainment Corporation, WGI Holdings, Inc., Enerbrite Technologies Group,
Section: 127 and 127.1
Panel: VK
Note: D. Campbell in attendance for Staff
February 21, 2012
10:00 AM		 Global Energy Group, Ltd., New Gold Limited Partnerships, Harper, Christina, Tsatskin, Vadim, Schaumer, Michael, Feder, Elliot, Pasternak, Oded, Silverstein, Alan, Groberman, Herbert, Walker, Allan, Robinson, Peter, Brikman, Vyacheslav, Bajovski, Nikola, Cohen, Bruce, Shiff, Andrew,
Section: 37, 127 and 127.1
Panel: PLK/JNR
Note: C. Watson in attendance for Staff
February 22-23, 2012
10:00 AM		 Boock, Irwin, DeFreitas, Stanton, Wong, Jason, Allie, Saudia, Dubinsky, Alena, Khodjiaints, Alex, Select American Transfer Co., Leasesmart, Inc., Advanced Growing Systems, Inc., International Energy Ltd., Nutrione Corporation, Pocketop Corporation, Asia Telecom Ltd., Pharm Control Ltd., Cambridge Resources Corporation, Compushare Transfer Corporation, Federated Purchaser, Inc., TCC Industries, Inc.,, First National Entertainment Corporation, WGI Holdings, Inc., Enerbrite Technologies Group,
Section: 127 and 127.1
Panel: VK
Note: D. Campbell in attendance for Staff
February 22-23, 2012
10:00 AM		 Majestic Supply Co. Inc., Suncastle Developments Corporation, Adams, Herbert, Bishop, Steve, Kricfalusi, Mary, Loman, Kevin, CBK Enterprises Inc.,
Section: 37, 127 and 127.1
Panel: EPK/PLK
Note: D. Ferris in attendance for Staff
February 27, 2012
10:00 AM		 Juniper Fund Management Corporation, Juniper Income Fund, Juniper Equity Growth Fund, Brown, Roy (a.k.a. Roy Brown-Rodrigues),
Section: 127 and 127.1
Panel: VK/MCH
Note: D. Ferris in attendance for Staff
February 27, 2012
10:00 AM		 North American Financial Group Inc., North American Capital Inc., Arconti, Alexander Flavio, Arconti, Luigino,
Section: 127
Panel: TBA
Note: M. Vaillancourt in attendance for staff

Related - The Commission | OSC Enforcement Branch | Adjourned Sine Die



















The Commissioners

Howard I. Wetston, Chair - HIW
James E. A. Turner, Vice Chair - JEAT
Lawrence E. Ritchie, Vice Chair - LER
Mary G. Condon, Vice Chair - MGC
Sinan O. Akdeniz - SOA
James D. Carnwath - JDC
Margot C. Howard - MCH
Sarah B. Kavanagh - SBK
Kevin J. Kelly - KJK
Paulette L. Kennedy - PLK
Edward P. Kerwin - EPK
Vern Krishna - VK
Christopher Portner - CP
Judith N. Robertson - JNR
Charles Wesley Moore (Wes) Scott - CWMS