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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May 27, 2015
10:00 AM

7997698 Canada Inc. (carrying on business as International Legal and Accounting Services Inc.), World Incubation Centre or WIC (ON), Lee, John (also known as Chin Lee), Huang, Mary (also known as Ning-Sheng Mary Huang),
Section: s. 127(1) and 127(5)
Panel: TBA
Note: G. Smyth in attendance for Staff
June 9-12, 2015
10:00 AM

Gatekeepers of Wealth Inc., Bochner, Joseph,
Section: s. 127 and 127.1
Panel: TBA
Note: G. Smyth 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


IAC - Independent Academies Canada Inc. , Micron Systems Inc., Everett, Theodore Robert, Duke, Robert H.,
Section: s. 127(1) and 127(10)
Panel: MGC
Note: K. Wilmut 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


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: TBA
Note: C. Price / A. Pelletier in attendance for Staff
TBA


Phillips, David Charles, Wilson, John Russell,
Section: 127
Panel: TBA
Note: Y. Chisholm/ 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 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 Yaqeen, Abdullah Yama,
Section: 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: 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA Dunn, Frank, Beatty, Douglas, Gollogly, Michael,
Section: 127
Panel: TBA
Note:
TBA


Portfolio Capital Inc., Rogerson, David, Hanna-Rogerson, Amy,
Section: 127
Panel: TBA
Note: G. Smyth / K. Wilmut in attendance for Staff
TBA


Azeff, Paul, Bobrow, Korin, Finkelstein, Mitchell, Miller, Howard Jeffrey, Cheng, Man Kin (a.k.a. Francis Cheng),
Section: s. 127
Panel: TBA
Note: T. Center/ D.Campbell 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