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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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: TBA
Note: D. Ferris / M. Vaillancourt in attendance for staff
June 22 - 30, 2015
10:00 AM

Drabinsky, Garth H., Gottlieb, Myron I., Eckstein, Gordon,
Section: s. 127(10)
Panel: TBA
Note: J. Friedman in attendance for Staff
September 16, 2015
10:00 AM

AMTE Services Inc., Osler Energy Corporation, Grewal, Ranjit, Colbert, Phillip, Ozga, Edward,
Section: 127
Panel: TBA
Note: C. Rossi in attendance for Staff
In writing


Powerwater Systems, Inc., Cleworth, Duncan, Powerwater USA Ltd.,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
In writing


Yoannou, Paul,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
In writing


Sundell, Kris,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
In writing


Lough, Patrick Myles, Davidson, Linda Dawn, Barnes, Wayne Thomas Arnold,
Section: s. 127(1) and 127(10)
Panel: JEAT
Note: K. Wilmut in attendance for Staff
TBA Yaqeen, Abdullah Yama,
Section: 8(2)
Panel: TBA
Note: J. Superina in attendance for Staff
TBA Dunn, Frank, Beatty, Douglas, Gollogly, Michael,
Section: 127
Panel: TBA
Note:
TBA Brilliante Brasilcan Resources Corp., York Rio Resources Inc., Aidelman, Brian W., Georgiadis, Jason, Taylor, Richard, York, Victor,
Section: 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA Uranium308 Resources Inc., Friedman, Michael, Schwartz, George, Robinson, Peter, Khan, Shafi,
Section: 127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
TBA O'Brien, David M.,
Section: 37, 127 and 127.1
Panel: TBA
Note: B. Shulman in attendance for Staff
TBA Portus Alternative Asset Management Inc., Portus Asset Management Inc., Manor, Boaz, Mendelson, Michael, Labanowich, Michael, Ogg, John,
Section: 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA


International Strategic Investments, International Strategic Investments Inc., Somin Holdings Inc., Gillani, Nazim, Driscoll, Ryan J.,
Section: 127
Panel: TBA
Note: C. Watson in attendance for Staff
TBA


Phillips, David Charles, Wilson, John Russell,
Section: 127
Panel: TBA
Note: Y. Chisholm/ B. Shulman in attendance for Staff

Related Information



















The Commissioners

Howard I. Wetston, Chair - HIW
James E. A. Turner, Vice-Chair - JEAT
Monica Kowal, Vice-Chair - MK
Catherine E. Bateman - CEB
James D. Carnwath - JDC
Mary G. Condon - MGC
Sarah B. Kavanagh - SBK
Edward P. Kerwin - EPK
Deborah Leckman - DL
Alan J. Lenczner - AJL
Christopher Portner - CP
Judith N. Robertson - JNR
AnneMarie Ryan - AMR