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.

OSC tribunal reasons issued since 2004 are also available free of charge on the Canadian Legal Information Institute website (CanLII).

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

UPDATE as of December 1, 2020 - The Ontario Securities Commission (OSC) is taking all necessary precautions to protect the health and safety of its employees and the public as we respond to challenges due to COVID-19. The OSC will not be holding in-person hearings until further notice. However, hearings will continue to be held via videoconference, teleconference or in writing.
 
A member of the media or public who wishes to observe a videoconference hearing may select the “Register to attend” link below on the hearing date and time indicated. A member of the media or public who wishes to hear a teleconference hearing may email their request to the Registrar at registrar@osc.gov.on.ca at least two business days in advance of the hearing, indicating their name, email address and the hearing they wish to hear. The Registrar will provide the requestor with dial-in information on how to hear the proceeding. Requests received less than two business days in advance of the teleconference hearing may not be able to be accommodated. The Secretary’s Office will update the upcoming proceedings below as more information is made available.


 

Date and Time Proceeding Information
Page 1 of 2Next » 
January 20, 2021
10:00 AM

By teleconference

Solar Income Fund Inc., Grossman, Allan, Mazzacato, Charles , Kadonoff, Kenneth,
Section: 127(1) and 127.1
Panel: Timothy Moseley
Note: A.Faith / D. Ferris / R. Lapensee in attendance for Staff
January 20, 2021
11:30 AM

By videoconference

Miller, David Randall,
Section: 127(1) and 127.1
Panel: Timothy Moseley, Raymond Kindiak, Frances Kordyback
Note: C. Galbraith in attendance for Staff
January 26, 2021
10:00 AM

By teleconference

Cartu, Joshua , Cartu, David , Cartu, Jonathan,
Section: Section: 127(1) and 127.1
Panel: M. Cecilia Williams
Note: Note: R. Morzaria in attendance for Staff
January 27-28, 2021
10:00 AM

By videoconference

Debus, Joseph ,
Section: 8 and 21.7
Panel: M. Cecilia Williams
Note:

G. MacKenzie / A. Matushenko in attendance for Staff

February 1, 2021
10:00 AM

By videoconference

February 3, 4, 5, 8, 9, 10, 11 &12, 2021

By videoconference

VRK Forex & Investments Inc. , Namburi, Radhakrishna ,
Section: Section: 127(1) and 127.1
Panel: To be announced
Note: G. MacKenzie in attendance for Staff
February 22, 2021
10:00 AM

By teleconference

Sheehan, Daniel,
Section: 127(1) and 127.1
Panel: Wendy Berman
Note: Note: R. Morzaria in attendance for Staff
February 24, 2021
10:00 AM

February 25 & 26, 2021

10:00 AM

By videoconference

Register to attend

Kitmitto, Majd , Vannatta, Steven , Candusso, Claudio , Candusso, Christopher , Goss, Donald Alexander (Sandy), Fielding, John , Fakhry, Frank ,
Section: 127(1) and 127.1
Panel: M. Cecilia Williams, Heather Zordel, Craig Hayman
Note: K. Gustafson / C. Galbraith in attendance for Staff
March 1, 2021
10:00 AM

By videoconference

March 3-5, 24-26, 29, 31, & April 1, 6-9, 21-22, 2021

10:00 AM

By videoconference

Solar Income Fund Inc., Grossman, Allan, Mazzacato, Charles , Kadonoff, Kenneth,
Section: 127(1) and 127.1
Panel: To be announced
Note: A.Faith / D. Ferris / R. Lapensee in attendance for Staff
March 12, 2021
9:00 AM

By teleconference

Daley, Sean, Wilkerson, Kevin ,
Section: 127(1) and 127.1
Panel: Lawrence P. Haber
Note: H. Chen in attendance for Staff
April 1, 2021
9:00 AM

By teleconference

Rosborough, Trevor , Carr, Taylor , Graham, Dmitri,
Section: 127(1) and 127.1
Panel: Timothy Moseley
Note:

A. Qian in attendance for Staff

April 12, 2021
10:00 AM

April 14-16 & 19, 2021
10:00 AM
 

By videoconference

Daley, Sean, Wilkerson, Kevin ,
Section: 127(1) and 127.1
Panel: To be announced
Note: H. Chen in attendance for Staff
April 28, 2021
10:00 AM

By teleconference

Miller, David Randall,
Section: 127(1) and 127.1
Panel: Wendy Berman
Note: C. Galbraith in attendance for Staff
April 30, 2021
10:00 AM

By teleconference

Marrone, Aurelio,
Section: 127(1) and 127.1
Panel: Lawrence P. Haber
Note: G. MacKenzie in attendance for Staff
May 13, 2021
9:30 AM

By teleconference
Stableview Asset Management Inc., Fisher, Colin,
Section: 127 and 127.1
Panel: Wendy Berman
Note: R. Gain in attendance for Staff
May 14, 2021
10:00 AM

By teleconference

Miner Edge Inc. , Miner Edge Corp. , Handa, Rakesh,
Section: 127(1) and 127.1
Panel: Lawrence P. Haber
Note: K. Gustafson in attendance for Staff