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

Date and Time Proceeding Information
Page 1 of 2Next » 
June 27, 2018
11:00 AM

Natural Bee Works Apiaries Inc., Landucci, Rinaldo, Chickalo, Tawlia ,
Section: s. 127(8)
Panel: DGV
Note:

D. Bernstein in attendance for Staff

June 28, 2018
10:00 AM

Sutton, Brian Michael ,
Section: s. 8 and 21.7
Panel: TM/DL/LPH
Note: M. Britton in attendance for Staff
June 28, 2018
10:00 AM

Investment Industry Regulatory Organization of Canada,
Section: s. 8 and 21.7
Panel: TM/DL/LPH
Note: M. Britton in attendance for Staff
July 3, 2018
10:00 AM

Caldwell Investment Management Ltd.,
Section: s. 127(1) and (2) and 127.1
Panel: RPH
Note: D. Ferris in attendance for Staff
July 3, 2018
10:00 AM

Trans-Atlantic Direct, TRD-Euromarkets S.L., Schwartz, Martin also known as Martin Shwartz, Price, Stewart , Sevilla, Bernard Justin , Singer, Mark Lee ,
Section: s. 127(7) and 127(8)
Panel: TM
Note: J. Gibson in attendance for Staff
July 6, 2018
9:30 AM

Bernholtz, Martin,
Section: s. 127(1) and 127.1
Panel: MJS
Note: M. Britton in attendance for Staff
July 6, 2018
10:00 AM

Money Gate Mortgage Investment Corporation, Money Gate Corp., Katebian, Morteza, Katebian, Payam,
Section: s. 127(1) and 127.1
Panel: TM
Note: J. Gibson in attendance for Staff
July 17, 2018
10:00 AM

Hutchinson, Donna, Cornish, Cameron Edward, Sidders, David Paul George , Caruso, Patrick Jelf ,
Section: s. 127 and 127.1
Panel: MJS
Note: M. Britton / R. Eghan in attendance for Staff
July 25, 2018
10:00 AM

Kitmitto, Majd , Vannatta, Steven , Candusso, Christopher , Candusso, Claudio ,
Section: s. 127(1) and 127.1
Panel: MJS
Note: Y. Chisholm/J. Lynch in attendance for Staff
July 25, 2018
10:00 AM

Meharchand, Dennis L., , Valt.X Holdings Inc,
Section: s. 127
Panel: TM/DL/RPH
Note: K. McGrann in attendance for Staff
July 31, 2018
10:00 AM

Omega Securities Inc.,
Section: s. 127 and 127.1
Panel: MJS
Note:

K. Wilmut in attendance for Staff

September 4, 2018
10:00 AM

September 6, 7, 10, 11, 13, 14, 18, 21, 24, 25, 28 & October 4, 5, 9-12, 2018

10:00 AM

Cheng, Benedict, Soave, Frank, Rothstein, John David, Tremblay, Eric,
Section: s. 127 and 127.1
Panel: PA/DL/RPH
Note: Y. Chisholm/J. Lynch/C. Galbraith in attendance for Staff
September 17, 2018
4:00 PM

El-Bouji, Issam,
Section: s. 127(1) and (2) and 127.1
Panel: RPH
Note: D. Ferris in attendance for Staff
September 26-27, 2018
10:00 AM

Psihopedas, Maria ,
Section: s. 8
Panel: RPHJL/AMR
Note: M. Skuce in attendance for Staff
In Writing


Simba, Muchoki Fungai (also previously known as Henderson MacDonald Alexander Butcher),
Section: s. 127(1) and 127.1
Panel: DGV
Note: A. Qian in attendance for Staff