Proceedings

 

IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5,
as amended
AND
IN THE MATTER OF
DAVID BARNSDALE, ROCH BEAULIEU, MARY DAWN DAVY,
AHSAN KHAN, MARK MILLER, JAMES SCHOFIELD, ASHTON SO,
WAYNE STEPHENSON, IAN YEO, and TD SECURITIES INC

NOTICE OF HEARING

(Section 127)

TAKE NOTICE that the Ontario Securities Commission (the "Commission") will hold a hearing pursuant to section 127 of the Securities Act, R.S.O. 1990, c.S.5, as amended (the "Act") at its offices on the 8th Floor, 20 Queen Street West, Toronto, Ontario commencing on Thursday the 6th day of November 1997, at10:00 a.m. or as soon thereafter as the hearing can be held;

TO CONSIDER:

(a) whether it is in the public interest to order, pursuant to clause 1 of Section 127(1) of the Act, that the registration of any or all of David Barnsdale("Barnsdale"), Roch Beaulieu ("Beaulieu"), Mary Dawn Davy ("Davy"), Ahsan Khan ("Khan"), Mark Miller ("Miller"), James Schofield ("Schofield"), AshtonSo ("So"), Wayne Stephenson ("Stephenson") and Ian Yeo ("Yeo") be suspended for such period of time as is ordered by the Commission;

(b) whether it is in the public interest to order, pursuant to clause 4 of Section 127(1) of the Act, that TD Securities Inc. ("TD Securities") submit to a review ofits practices and procedures and institute such changes as may be ordered by the Commission;

(c) whether it is in the public interest to order, pursuant to clause 6 of Section 127(1) of the Act, that TD Securities be reprimanded; and

(d) such further and other orders or directions as the Commission may consider to be in the public interest to make.

BY REASON OF the allegations set out in the Statement of Allegations of Staff of the Enforcement Branch of the Commission that the conduct of Barnsdale,Beaulieu, Davy, Khan, Miller, Schofield, So, Stephenson, Yeo, and TD Securities was not in the public interest;

AND TAKE FURTHER NOTICE that any party to the proceeding may be represented by counsel if that party attends or submits evidence at the hearing;

AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the hearing may proceed in the absence of that partyand such party is not entitled to any further notice of the proceeding.

October 31st, 1997.

"Daniel P. Iggers"