Hearings

Hearings usually take place at the British Columbia Securities Commission, 12th Floor, 701 West Georgia Street, Vancouver, BC. Hearings usually start at 10 am each hearing day. Hearing dates and times are subject to change and are 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
2017-01-19; Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management); Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Suzanne K Wiltshire - Chair, Judith Downes, Don Rowlatt
Note: On November 2, 2012, the Commission, by consent, issued a temporary order until a hearing is held and a decision rendered. Hearing concluded. On January 19, 2017, the panel will hear the oral submissions on liability.
2017-01-24; 2017-03-13 - 2017-03-14; Volkmar Guido Hable; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Manipulation/Misleading trading
Panel: Nigel P Cave - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: Temporary order issued. On December 22, 2016, the Commission held a hearing, and by consent of the parties, extended the temporary order until a hearing is held and a decision is rendered. The Commission will hold a hearing management meeting on January 24, 2017 at 10:00am. The hearing is scheduled to start on March 13, 2017.
2017-02-07; Roy Ping Bai (also known as Ping Bai); RBP Consulting; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel:
Note: The Commission will set a date for the hearing on February 7, 2017 at 9:00M.
2017-02-10; Gurpreet Singh Bansal; Mutual Fund Dealers Association of Canada; Executive Director
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Hearing Type: Review
Allegations:
Panel:
Note: Mr. Bansal has requested a review of an MFDA decision dated October 6, 2016. The Commission will set a date for the hearing after it receives the applicant's statement of points and the MFDA's Record. The Commission will hold a hearing management meeting on February 10, 2017 at 9:00am.
2017-02-27; David Tuan Seng Lim; Michael Mugford; EuroHelvetia TrustCo S.A. (now known as EHT Corporate Services S.A.; Executive Director
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Hearing Type: Enforcement
Allegations: Illegal distribution; Manipulation/Misleading trading
Panel: Nigel P Cave - Chair, Audrey T. Ho, Don Rowlatt
Note: Hearing concluded. The parties will file submissions on liability by February 20, 2017. On February 27, 2017, the panel will hear the parties' oral submissions on liability.
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Action Pending

Hearing Status Hearing Information
Action pendingBrendan James Schouw; Hornby Residences Ltd.; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, George C. Glover, Audrey T. Ho
Note: Hearing concluded. The Panel's findings are due January 23, 2017.
Action pendingChristine Maria Cerisse; Laurence Frederick Austin, also known as Lawrence Frederick Austin; Thomas John Sadler; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Illegal distribution; Manipulation/Misleading trading; Misrepresentation
Panel: Nigel P Cave - Chair, Judith Downes, Don Rowlatt
Note: Hearing concluded. The Panel's findings are due February 6, 2017.
Action pendingEagleMark 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. On March 12, 2012, the Commission, by consent, extended the temporary order until a hearing is held and a decision is rendered. The hearing has concluded. The Panel's issued its findings on August 22, 2016. The parties' submissions on sanction are due November 4, 2016. The Panel will hear oral submissions on sanction on January 6, 2017. The Panel's Decision is due February 6, 2017.
Action pendingFieldhouse Capital Management Inc.; Executive Director
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Hearing Type: Review
Allegations:
Panel: Nigel P Cave - Chair
Note: Fieldhouse Capital Management Inc. has requested a review of the Executive Director's decision dated August 31, 2016. The Commission will set a date for the hearing after it receives the applicant's statement of points and the Executive Director's record.
Action pendingForum National Investments Ltd.; Daniel Clozza; Martin Tutschek; Grant Curtis; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, George C. Glover, Suzanne K Wiltshire
Note: Temporary order issued on July 20, 2012. On July 31 and August 1, 2012, the Panel heard the Executive Director's application to extend the temporary order. On August 8, 2012, the Panel dismissed the application and revoked the temporary order. On June 4 and September 10, 2014, Forum and Dan Clozza applied for various orders. The panel heard the applications on September 15 and 16, 2014 and reserved their decision. On January 9, 2015, the Panel adjourned Forum's and Mr. Clozza's constitutional application.
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Matter Concluded

Hearing Status Hearing Information
Matter concludedAyaz Dhanani (also known as Azim Virani); Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Fraud
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: Hearing concluded. The Panel issued its decision on December 16, 2016.

Under Appeal

Hearing Status Hearing Information
Under appealGordon Brent Pierce; Executive Director
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Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: Nigel P Cave - Chair, Audrey T. Ho, Gordon L. Holloway
Note: The executive director has applied for orders under sections 161(6) and 161(1) of the Securities Act. The Commission dismissed the respondent's application for stay on February 11, 2016. On March 7, 2016, the respondent filed a notice of application for leave to appeal the Commission's stay decision. On May 5, 2016 the respondent's application for leave to appeal was adjourned generally. On May 25, 2016, the panel heard submissions on a preliminary issue and issued its ruling on June 1. On June 24, 2016, the panel heard submissions from the parties on the executive director's application and on August 5, 2016 issued its ruling. On September 2, 2016, the respondent filed a notice of application for leave to appeal the Commission's August 5, 2016 ruling. On December 19, 2016, the Court of Appeal dismissed Mr. Pierce's application for leave to appeal and issued its oral reasons for judgment.
Under appealHRG Healthcare Resource Group Inc.; Alexander Downie; Daniel G. Mohan; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Illegal distribution
Panel: Nigel P Cave - Chair, Audrey T. Ho, Don Rowlatt
Note: Hearing concluded. The Panel issued its decision on January 8, 2016. On February 9, 2016, Daniel Mohan filed a notice of application for leave to appeal the Commission's Findings and Decision with the British Columbia Court of Appeal.
Under appealLarry Keith Davis; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Suzanne K Wiltshire - Chair, George C. Glover, Don Rowlatt
Note: Hearing concluded. The Panel issued its decision on November 7, 2016. On December 6, 2016, Mr. Davis filed a notice of application for leave to appeal the Commission's Findings and Decision with the British Columbia Court of Appeal.
Under appealMichael Patrick Lathigee; Earle Douglas Pasquill; FIC Real Estate Projects Ltd.; FIC Foreclosure Fund Ltd.; WBIC Canada Ltd.; Executive Director
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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. On March 4, 2016 the Court of Appeal granted, in part, the respondents' application for leave to appeal.
Under appealSPYru Inc; Paradox Distributors (1992) Ltd.; Echo Partners Ltd.; U-GO Brands Nutritional Products Inc.; Peter David Harris; Lorne Neil Cire; Christopher Andrew Burke; Millard Michael Kwasnek; Joseph Yvan JeanClaude Thibert a.k.a John Thibert; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Fraud; Illegal distribution; Misrepresentation; Contravening a decision
Panel: Nigel P Cave - Chair, Judith Downes, Audrey T. Ho
Note: Hearing concluded. On December 14, 2015, the Panel issued its decision. On January 13, 2016, Lorne Neil Cire and Millard Michael Kwasnek filed a notice of application for leave to appeal with the British Columbia Court of Appeal. The Appellants' leave to appeal hearing is adjourned generally.
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