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
2014-11-28; 2014-12-01 - 2014-12-03; 2014-12-05; Jon Richard Carnes; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Fraud
Panel: Nigel P Cave - Chair, Judith Downes, Audrey T. Ho
Note: The hearing is scheduled to start on November 24, 2014.
2014-12-03; EagleMark Ventures, LLC; Richard Lian (aka Richard Terry Ruuska); Enna M. Keller; Falcon Holdings, LLC; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud; Illegal distribution; Misrepresentation; Trading without registration; Contravening a decision
Panel: George C. Glover - Chair, Gordon L. Holloway, Don Rowlatt
Note: Temporary order issued and on March 12, 2012, the Commission, by consent, extended the temporary order until a hearing is held and a decision is rendered. On November 25, 2014, the Commission adjourned this matter generally. The Commission will hold a hearing management meeting on December 3, 2014, to set new hearing dates.
2014-12-08 - 2014-12-12; Hon Seng Lum (also known as Victor Lum); May Lee Chan Lum; Executive Director
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Hearing Type: Enforcement
Allegations: Insider trading; Recommending
Panel: George C. Glover - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: The hearing is scheduled to start on December 8, 2014.
2014-12-09; Rashida Samji; Rashida Samji Notary Corporation; Samji & Assoc. Holdings Inc.; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Judith Downes - Chair, Gordon L. Holloway
Note: Hearing concluded. On December 9, 2014, the Panel will hear the parties' submissions on sanction.
2014-12-10; 2015-02-10 - 2015-02-12; Hussain Dhala; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Fraud
Panel: Nigel P Cave - Chair, Judith Downes, Christopher D Farber
Note: The hearing is scheduled to start on February 10, 2015. The Commission will hold a hearing management meeting on December 10, 2014.
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Hearings in Writing

Hearing Status Hearing Information
Hearing in writingLance McManne; Orbuttron Ltd.; Orbuttron Sound Waves II Ltd.; Executive Director
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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.

Action Pending

Hearing Status Hearing Information
Action pendingAdis Golic (also known as Ady Golic); Adcapital Industries Inc.; Ad Capital U.S. Inc.; Executive Director
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Hearing Type: Enforcement
Allegations: Illegal distribution; Trading without registration
Panel: Nigel P Cave - Chair, Audrey T. Ho
Note: On June 26, 2013, the Executive Director applied for orders based on Golic’s Securities Act convictions. On July 11, 2014, the Panel issued its decision. On July 18, 2014, the Executive Director discontinued the proceedings against the remaining respondents. On August 11, 2014, Golic requested a review of the Panel’s decision under s.171 of the Act. The Panel will consider Golic's application. The parties submissions are due on January 9, 2015.
Action pendingColin Robert Hugh McCabe; Erwin Thomas Speckert; Executive Director
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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. On October 3, 2014 the Panel heard the parties' submissions on sanctions. The parties' further submissions on sanctions are due November 21, 2014.
Action pendingDavid Michael Michaels; 509802 BC Ltd. dba Michaels Wealth Management Group; Executive Director
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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.
Action pendingDoris Elizabeth Nelson; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Fraud; Illegal distribution
Panel: Suzanne K Wiltshire - Chair, Nigel P Cave, Judith Downes, Audrey T. Ho
Note: On April 22, 2013, the Panel adjourned the hearing and issued a temporary order until a hearing is held and a decision is rendered. On July 16, 2014, by consent, the Panel adjourned the hearing generally.
Action pendingDouglas William Falconer Wood; Executive Director
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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 findings are due January 14, 2015.
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Matter Concluded

Hearing Status Hearing Information
Matter concludedDaniel Grant McGee; Executive Director
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Hearing Type: Enforcement
Allegations: Illegal distribution; Misrepresentation
Panel: Audrey T. Ho - Chair, Don Rowlatt
Note: Hearing concluded. The Panel issued its decision on July 23, 2014 .
Matter concludedDoreen Lowe; Marco Myatovic; Investment Industry Regulatory Organization of Canada (IIROC); Executive Director
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Hearing Type: Review
Allegations:
Panel: Judith Downes - Chair, Nigel P Cave, Gordon L. Holloway
Note: Doreen Lowe and Marco Myatovic have requested a review of IIROC's liability and sanction decisions dated July 31, 2012 and March 28, 2013, respectively. On May 27, 2013, the Commission granted a stay of IIROC's April 23, 2013 sanction decision and on December 30, extended the stay until the disposition of the review. Hearing concluded. On November 7, 2014, the Panel issued its decision.
Matter concludedRobert Waters; Executive Director
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Hearing Type: Enforcement
Allegations: Illegal distribution; Trading without registration
Panel: Judith Downes - Chair, Gordon L. Holloway
Note: Hearing concluded. The Panel issued its decision on September 4, 2014.