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
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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
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
September 2 - 8, 10 - 22, 24 - 26, 30
10:00 AM

October 1 - 6, 8 - 10, 14 - 17, 28 - 31, November 3, 5 - 7, 11 - 17, 19 - 21, 25 - 28, December 1, 3 - 5, 9 - 15, 17 - 19, 2014, February 23, 25 - 27, March 3 - 9, 11 - 13, 17 - 23, 25 - 27, 31, April 1 - 2, 8 - 10, 14 - 20, 22 - 24, 28 - 30, May 1 - 4, 6 - 8, 12 - 15, 20 - 22, 26 - 29, June 3 - 5 & June 9, 2015 10:00 a.m.
Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: 127
Panel: TBA
Note: H. Craig in attendance for Staff
September 8, 10-12, 15, 2014
10:00 AM

Newer Technologies Limited, Pickering, Ryan, Frey, Rodger,
Section: s. 127 and 127.1
Panel:
Note: B. Shulman in attendance for staff
September 15-22, 2014
10:00 AM

Septemeber 24, Septemeber 29 - October 6, October 8 - 10, October 14 - 20, October 22 - November 3 & November 5 - 7, 2014 10:00 AM
Azeff, Paul, Bobrow, Korin, Finkelstein, Mitchell, Miller, Howard Jeffrey, Cheng, Man Kin (a.k.a. Francis Cheng),
Section: s. 127
Panel: AJL/AMR/CEB
Note: T. Center/ D.Campbell in attendance for Staff
October 3, 2014
10:00 AM

October 6, 8 - 20, 22 - 31, 2014, February 2 - 9 & February 11 - 13, 2015  10:00 AM
Black, Conrad M., Boultbee, John A., Atkinson, Peter Y.,
Section: 127 and 127.1
Panel: CP/JNR
Note: J. Superina / J. Friedman in attendance for Staff
October 27, 2014
2:00 PM

Oversea Chinese Fund Limited Partnership, Weizhen Tang and Associates Inc., Weizhen Tang Corp., Tang, Weizhen,
Section: s. 127 and 127.1
Panel: AJL
Note: H. Craig in attendance for staff
October 27, 2014
2:00 PM

Tang, Weizhen,
Section: s. 127
Panel: TBA
Note: C. Rossi in attendance for staff
November 11-17, 2014
10:00 AM

November 19-21, November 25-December 1, December 3-5, 9-15, 17-19, 2014
January 14-16, 20-26, 28-30, February 3-9, 11-13, 17-23, 25-27 & March 3-6, 2015  10:00 AM

Ernst & Young LLP,
Section: 127 and 127.1
Panel: TBA
Note: Y. Chisholm / H. Craig in attendance for Staff
November 17, 2014
10:00 AM

November 19 - 28, 2014 10:00 AM
A25 Gold Producers Corp., Amar, David, Adams, James Stuart, Amar, Avi,
Section:
Panel: JEAT
Note: G. Smyth in attendance for staff
December 1, 2014
10:00 AM

December 3 - 15, 2014 10:00 AM
Bradon Technologies Ltd., Compta, Joseph, Ensign Corporate Communications Inc., German, Timothy,
Section: s. 127 and 127.1
Panel: JEAT
Note: B. Shulman in attendance for staff
In writing


Ground Wealth Inc., Dunk, Michelle, Smith, Adrion, Webster, Joel, De Boer, Doug, Armadillo Energy Inc., Armadillo Energy, Inc., Armadillo Energy LLC,
Section: 127
Panel: CP
Note: J. Feasby in attendance for Staff
May 1, 2015
10:00 AM

Ernst & Young LLP (Audits of Zungui Haixi Corporation),
Section: 127 and 127.1
Panel: TBA
Note: J. Friedman 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