Proceedings

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Schedule “A”

  1. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman, Hanoch Ulfan and Maitland Capital Ltd. traded in securities of Maitland Capital Ltd., without being registered to trade in such securities as required by section 25(1) of the Securities Act and thereby did commit an offence contrary to section 122(1)(c) of the Securities Act.

  2. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman and Hanoch Ulfan, being directors or officers of Maitland Capital Ltd., did authorize, permit or acquiesce in trades in securities of Maitland Capital Ltd., without Maitland Capital Ltd. and its salespersons being registered to trade in such securities as required by section 25(1) of the Securities Act and did thereby commit an offence contrary to section 122(3) of the Securities Act.

  3. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman, Hanoch Ulfan and Maitland Capital Ltd. traded in securities of Maitland Capital Ltd., where such trading was a distribution of such securities, without having filed a preliminary prospectus and a prospectus and obtaining receipts therefor from the Director, as required by section 53(1) of the Securities Act and did thereby commit an offence contrary to section 122(1)(c) of the Securities Act.

  4. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman and Hanoch Ulfan, being directors or officers of Maitland Capital Ltd., did authorize, permit or acquiesce in trades in securities of Maitland Capital Ltd., where such trading was a distribution of such securities, without having filed a preliminary prospectus and a prospectus and obtaining receipts therefor from the Director, as required by section 53(1) of the Securities Act and did thereby commit an offence contrary to section 122(3) of the Securities Act.

  5. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman, Hanoch Ulfan and Maitland Capital Ltd., with the intention of effecting trades in securities of Maitland Capital Ltd., gave undertakings as to the future value or price of securities of Maitland Capital Ltd. contrary to section 38(2) of the Securities Act and did thereby commit an offence contrary to section 122(1)(c) of the Securities Act.

  6. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman and Hanoch Ulfan, being directors or officers of Maitland Capital Ltd., did authorize, permit or acquiesce in the giving of undertakings by salespersons of Maitland Capital Ltd. relating to the future value or price of securities of Maitland Capital Ltd. with the intention of effecting trades in such securities, contrary to section 38(2) of the Securities Act and did thereby commit an offence contrary to section 122(3) of the Securities Act.

  7. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman, Hanoch Ulfan and Maitland Capital Ltd., with the intention of effecting trades in securities of Maitland Capital Ltd., made representations that securities of Maitland Capital Ltd. would be listed on a stock exchange contrary to section 38(3) of the Securities Act and did thereby commit an offence contrary to section 122(1)(c) of the Securities Act.

  8. On or between October 15, 2004 and November 30, 2005, in the City of Toronto and elsewhere in the Province of Ontario, Abraham Herbert Grossman and Hanoch Ulfan, being directors or officers of Maitland Capital Ltd., did authorize, permit or acquiesce in the making of representations by salespersons of Maitland Capital Ltd. that securities of Maitland Capital Ltd. would be listed on a stock exchange with the intention of effecting trades in such securities contrary to section 38(3) of the Securities Act and did thereby commit an offence contrary to section 122(3) of the Securities Act.

  9. On or about December 30, 2004, in the City of Toronto, Abraham Herbert Grossman and Maitland Capital Ltd. made a statement in a report of exempt distribution which was required to be filed or furnished under Ontario securities law that, in a material respect and at the time and in light of the circumstances under which it was made, was misleading or untrue or did not state a fact that was required to be stated and did thereby commit an offence contrary to section 122(1)(b) of the Securities Act.

  10. On or about December 30, 2004, in the City of Toronto, Abraham Herbert Grossman and Hanoch Ulfan, being directors or officers of Maitland Capital Ltd., did authorize, permit or acquiesce in the making of a statement in a report of exempt distribution which was required to be filed or furnished under Ontario securities law that, in a material respect and at the time and in light of the circumstances under which it was made, was misleading or untrue or did not state a fact that was required to be stated pursuant to section 122(1)(b) of the Securities Act and did thereby commit an offence contrary to section 122(3) of the Securities Act.