Hearings

Hearings usually take place at British Columbia Securities Commission, 12th Floor, 701 West Georgia Street, Vancouver, BC. Hearings usually start at 10 am each hearing day. Hearing dates subject to change and updated on the hearing schedule.


Hearing Schedule

Search Hearing Files

Search for hearings that were in progress or began after August 1, 2005

Upcoming Hearings

Hearing Dates Hearing Information
2015-05-11 - 2015-05-15; 2015-05-19 - 2015-05-22; 2015-05-25 - 2015-05-29; 2015-06-03 - 2015-06-05; 2015-10-15 - 2015-10-16; 2015-10-20 - 2015-10-22; Thomas Arthur Williams; Global Wealth Creation Opportunities Inc.; Global Wealth Creation Opportunities Inc. (Belize); Global Wealth Financial Inc.; Global Wealth Creation Strategies Inc.; CDN Global Wealth Creation Club RW-TW; 2002 Concepts Inc.; Susan Grace Nemeth; Renee Michelle Penko; Paul Finney; Irene G. Beilstein; Christina Kiemel; Helena Yvonne Becker; Dennis Carl Weigel; Daniel Quoming Sam; Eric Clark; Sharon Downing; Robert Laudy Williams; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud; Illegal distribution
Panel: Nigel P Cave - Chair, George C. Glover, Don Rowlatt
Note: On March 30, 2015 the Executive Director entered into a settlement agreement with Sharon Downing and discontinued proceedings against her. On April 20, 2015 the Executive Director discontinued proceedings against Helena Yvonne Becker. On April 27, 2015 the Executive Director entered into a settlement agreement with Daniel Quo Ming Sam and discontinued proceedings against him. The hearing is scheduled to start on May 11, 2015.
2015-06-05; Lance McManne; Orbuttron Ltd.; Orbuttron Sound Waves II Ltd.; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Fraud; Illegal distribution
Panel: Nigel P Cave - Chair, George C. Glover, Gordon L. Holloway
Note: This hearing will be conducted in writing. On January 10, 2014, the panel adjourned the hearing generally. The Commission will hold a hearing management meeting on June 5, 2015 at 9:00am.
2015-06-08; Sungro Minerals Inc.; Malkeet Singh Bains; Mark Aaron McLeary; Timothy John McLeary; Narvinder Singh Patric Virk; Robert Hainey; Jerry Williams; Erik John Benson; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Manipulation/Misleading trading
Panel: Bradley Doney - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: Temporary order issued and extended until a hearing is held and a decision is rendered. Hearing concluded. The Panel issued its findings on December 16, 2014. The parties' submissions on sanction are due on April 27, 2015. On June 8, 2015, the Panel will hear submissions on sanction.
2015-06-09 - 2015-06-10; Mark Aaron McLeary; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Failure to file
Panel: Nigel P Cave - Chair, Judith Downes, Audrey T. Ho
Note: The hearing is scheduled to start on June 9, 2015.
2015-06-15 - 2015-06-17; Rodney John Snider; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Illegal distribution; Trading without registration
Panel: Nigel P Cave - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: The hearing is scheduled to start on June 15, 2015.
[+] Show All

Action Pending

Hearing Status Hearing Information
Action pendingCatherine Deborah Jones; Investment Industry Regulatory Organization of Canada (IIROC); Executive Director
[+] Show Additional Information
Hearing Type: Review
Allegations:
Panel: Nigel P Cave - Chair, Christopher D Farber, Suzanne K Wiltshire
Note: Ms. Jones has requested a review of IIROC's liability decision dated December 16, 2013 and sanction decision dated March 31, 2014. On May 2, 2014, the Commission granted a stay of IIROC�s sanction decision, except for the strict supervision requirement, until the disposition of the review. The Panel's decision is due June 4, 2015.
Action pendingDale Edward Joseph St. Jean; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel:
Note: The Executive Director has applied for orders under section 161(6) of the Securities Act. A decision is pending.
Action pendingDennis Morice; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel:
Note: The Executive Director has applied for orders under section 161(6) of the Securities Act. A decision is pending.
Action pendingDouglas William Falconer Wood; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Insider trading
Panel: Judith Downes - Chair, Nigel P Cave, Gordon L. Holloway, Don Rowlatt
Note: Hearing concluded. The Panel's decision is due May 1, 2015.
Action pendingEric F. O’Brien; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel:
Note: The Executive Director has applied for orders under section 161(6) of the Securities Act. A decision is pending.
[+] Show All

Matter Concluded

Hearing Status Hearing Information
Matter concludedRobert Scott Morrice; Donald Gordon Byrne; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, Christopher D Farber, Audrey T. Ho
Note: On April 27 and 29, 2015, the Executive Director entered into a settlement agreement with Robert Scott Morrice and Donald Gordon Byrne and discontinued proceedings against them.

Under Appeal

Hearing Status Hearing Information
Under appealColin Robert Hugh McCabe; Erwin Thomas Speckert; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Misrepresentation
Panel: Judith Downes - Chair, Don Rowlatt
Note: Hearing concluded. The Panel issued its decision on December 18, 2014. On December 23, 2014, Erwin Speckert applied for a variation of the Commission's December 18, 2014 decision and the Panel issued its decision on January 19, 2015. On January 16, 2015, Colin McCabe filed a notice of application for leave to appeal with the British Columbia Court of Appeal. On April 10, 2015, Erwin Speckert applied for a variation of the Commission's December 18, 2014 decision. The Executive Director's response to Mr. Speckert's application is due May 1, 2015. On April 27, 2015 the British Columbia Court of Appeal granted, in part, Colin McCabe's application for leave to appeal.
Under appealDavid Michael Michaels; 509802 BC Ltd. dba Michaels Wealth Management Group; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud; Misrepresentation; Trading without registration
Panel: Nigel P Cave - Chair, George C. Glover, Suzanne K Wiltshire
Note: Hearing concluded. The Panel issued its decision on October 31, 2014. On November 28, 2014, David Michaels filed a notice of application for leave to appeal with the British Columbia Court of Appeal. On April 13, 2015 the British Columbia Court of Appeal granted, in part, Mr. Michaels' application for leave to appeal.
Under appealMichael Patrick Lathigee; Earle Douglas Pasquill; FIC Real Estate Projects Ltd.; FIC Foreclosure Fund Ltd.; WBIC Canada Ltd.; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud
Panel: Audrey T. Ho - Chair, Judith Downes
Note: Hearing concluded. On March 16, 2015, the Panel's issued its decision. On April 14, 2015, the respondents filed a notice of application for leave to appeal with the British Columbia Court of Appeal.
Under appealThalbinder Singh Poonian; Shailu Sharon Poonian; Robert Joseph Leyk; Manjit Singh Sihota; Perminder Sihota; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Misrepresentation
Panel: Suzanne K Wiltshire - Chair, George C. Glover, Audrey T. Ho
Note: Hearing concluded. The Panel issued its decision on March 13, 2015. On April 13, 2015, the respondents filed notices of application for leave to appeal with the British Columbia Court of Appeal.