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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In writing


Lathigee, Michael Patrick, Pasquill, Earle Douglas, Fic Foreclosure Fund Ltd., Fic Real Estate Projects Ltd., WBIC Canada Ltd.,
Section: s. 127(1) and 127(10)
Panel: DGV
Note: M. Alvaro in attendance for Staff
In writing


Soleja, Danish Akhtar, Dansol International Inc., Graphite Finance Inc., Parkview Limited Partnership, 1476634 Alberta Ltd.,
Section: s. 127(1) and 127(10)
Panel: DGV
Note: M. Alvaro in attendance for Staff
TBA Yaqeen, Abdullah Yama,
Section: s. 8(2)
Panel: TBA
Note: J. Superina in attendance for Staff
TBA Uranium308 Resources Inc., Friedman, Michael, Schwartz, George, Robinson, Peter, Khan, Shafi,
Section: s. 127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
TBA Brilliante Brasilcan Resources Corp., York Rio Resources Inc., Aidelman, Brian W., Georgiadis, Jason, Taylor, Richard, York, Victor,
Section: s. 127
Panel: TBA
Note: H. Craig in attendance for Staff
TBA Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: TBA
Note: H. Craig/C. Rossi in attendance for Staff
TBA Pro-Financial Asset Management Inc., McKinnon, Stuart, Farrell, John,
Section: s. 127 and 127.1
Panel: TBA
Note: D. Ferris/C. Weiler in attendance for Staff