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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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
January 12, 2015
10:00 AM

January 14-21, 2015

10:00 a.m.

Bluestream Capital Corporation, Bluestream International Investments Inc., Krown Consulting Corp., 1859585 Ontario Ltd. (Operating as Sovereign International Investments), Balazs, Peter,
Section: s. 127 and 127.1
Panel: JEAT
Note: C. Johnson in attendance for staff
January 15, 2015
10:00 AM

Pariak-Lukic, Lucy Marie,
Section: 8 and 21.7
Panel: CP
Note: K. Wilmut in attendance for Staff
January 26, 2015
10:00 AM

January 28-30, February 2-6 & February 9, 2015
Ground Wealth Inc., Dunk, Michelle, Smith, Adrion, Webster, Joel, De Boer, Doug, Armadillo Energy Inc., Armadillo Energy, Inc., Armadillo Energy, LLC (aka 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
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

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
Vern Krishna - VK
Deborah Leckman - DL
Alan J. Lenczner - AJL
Christopher Portner - CP
Judith N. Robertson - JNR
AnneMarie Ryan - AMR