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 5Next » 
April 24, 2014
9:00 AM

Global RESP Corporation, Global Growth Assets Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for Staff
April 28 - 30, 2014
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 30, 2014
10:00 AM

Inspektor, Eric,
Section: 127 and 127.1
Panel: JDC
Note: P. Foy in attendance for staff
May 5, 2014
10:00 AM

May 7-16, May 21-June 2 & June 4-12, 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
Note: T. Center in attendance for staff
May 5, 2014
10:00 AM

May 7 - 16 & May 21 - 30, 2014  10:00 AM

Ovenden, Ronald James, New Solutions Capital Inc., New Solutions Financial Corporation, New Solutions Financial (II) Corporation,
Section: 127
Panel: JDC
Note: P. Foy in attendance for Staff
May 7, 2014
10:00 AM

North American Financial Group Inc., North American Capital Inc., Arconti, Alexander Flavio, Arconti, Luigino,
Section: 127
Panel: JDC
Note: M. Vaillancourt in attendance for Staff
May 16, 2014
10:00 AM

Heritage Education Funds Inc.,
Section: 127
Panel: JEAT
Note: D. Ferris in attendance for Staff
May 23, 2014
10:00 AM

Pro-Financial Asset Management Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for staff
May 27, 2014
10:00 AM

Global Energy Group, Ltd., New Gold Limited Partnerships, Harper, Christina, Rash, Howard, Schaumer, Michael, Feder, Elliot, Tsatskin, Vadim, Pasternak, Oded, Silverstein, Alan, Groberman, Herbert, Walker, Allan, Robinson, Peter, Brikman, Vyacheslav, Bajovski, Nikola, Cohen, Bruce, Shiff, Andrew,
Section: s. 127
Panel: EPK
Note: C. Rossi in attendance for Staff
May 27, 2014
10:00 AM

Rash, Howard,
Section: s. 127(1) and 127(10)
Panel: EPK
Note: C. Rossi in attendance for staff
June 2, 2014
11:00 AM

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
June 4, 2014
10:00 AM

Gold-Quest International, Gale, Sandra,
Section: 127
Panel: AJL
Note: C. Johnson in attendance for Staff
June 9, 2014
10:00 AM

June 10 & 11, 2014  10:00AM
Northern Securities Inc., Alboini, Victor Philip, Chornoboy, Douglas Michael, Vance, Frederick Earl,
Section: 21.7 and 8
Panel: JEAT/JNR
Note: Y. Chisholm in attendance for Staff
June 12, 2014
10:00 AM

Morgan Dragon Development Corp., Cheong, John (a.k.a. Kim Meng Cheong), Tse, Herman, Ricketts, Devon, Griffiths, Mark,
Section: 127
Panel: EPK
Note: J. Feasby in attendance for Staff
August 6, 2014
10:00 AM

Tricoastal Capital Partners LLC, Tricoastal Capital Management Ltd., Summers, Keith MacDonald,
Section: 127
Panel: CP
Note: C Johnson/G. Smyth 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