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 » 
January 12, 2017
10:00 AM

Pasquill, Earle Douglas, Lathigee, Michael Patrick, Fic Real Estate Projects Ltd., Fic Foreclosure Fund Ltd., WBIC Canada Ltd.,
Section: s. 127(1) and 127(10)
Panel: DGV
Note:

M. Norman in attendance for Staff

December 7, 2016
3:00 PM

Aaoption, Galaxy International Solutions Ltd., Eshel, David ,
Section: s. 127(1) and 127(10)
Panel: MK
Note:

M. Norman in attendance for Staff

December 15, 2016
9:30 AM

April 19-21, April 27-28, May 1, 3-10, 23-24, 26, 30-31 and June 1-2, 2017
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: DGV
Note: P.Foy/J. Friedman in attendance for Staff
March 16, 2017
10:00 AM

April 17, 19- 21, 24-27 & 28, 2017.
10:00 a.m.
Rotstein, Mark Steven, Equilibrium Partners Inc.,
Section: s. 127 and 127.1
Panel: TBA
Note: Y. Chisholm in attendance for Staff
In writing


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
In writing


Narayan, Saileshwar Rao, Prosperity Development Group, Prospera Mortgage Investment Corporation,
Section: s. 127(1) and 127(10)
Panel: AJL
Note: M. Norman in attendance for Staff
In writing


Optam Holdings Inc , Infinivest Mortgage Investment Corporation, Closson, Wade Robert,
Section: 127(1) and 127(10)
Panel: AJL/MK
Note: E. Rankin 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 Monaghan, Clifford Todd ,
Section: s. 8 and 21.7
Panel: TBA
Note: M. Britton in attendance for Staff
TBA Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
TBA


Black Panther Trading Corporation, Goddard, Charles Robert,
Section: s. 127
Panel: TBA
Note: K. Wilmut in attendance for Staff
TBA 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: TBA
Note: Y. Chisholm/C. Weiler in attendance for Staff