Due to upcoming maintenance the Public Website will be unavailable from 5 p.m. to 7 p.m. on Thursday, March 21, 2019.
For more information, click here.

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
2019-04-03; Chien-Hua Liu, also known as William Liu; NuWealth Financial Group Inc.; CPFS Professional Financial Services Inc.; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Trading without registration
Panel: Nigel P Cave - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: Hearing concluded. The Panel issued its Findings on November 23, 2018. On April 3, 2019, the Panel will hear the parties' oral submissions on sanctions.
2019-04-09; BridgeMark Financial Corp.; Jackson & Company Professional Corp.; Anthony Kevin Jackson; Lukor Capital Corp.; Justin Edgar Liu; Rockshore Advisors Ltd. (formerly known as Cam Paddock Enterprises Inc.); Cameron Robert Paddock; Simran Singh Gill; JCN Capital Corp.; John Rosarino Bevilacqua; Essos Corporate Services Inc.; Sway Capital Corp.; Von Rowell Torres; David Matthew Schmidt; Detona Capital Corp.; Danilen Villanueva; Natasha Jon Emami; Altitude Marketing Corp.; Ryan Peter Venier; Platinum Capital Corp.; 658111 B.C. Ltd.; Jason Christopher Shull; Tryton Financial Corp.; Abeir Haddad; Tavistock Capital Corp.; Robert John Lawrence; Jarman Capital Inc.; Scott Jason Jarman; Northwest Marketing and Management Inc.; Aly Babu Husein Mawji; Rufiza Babu Husein Mawji-Esmail; Denise Marie Trainor; Randy White; Escher Invest SA; Hunton Advisory Ltd.; Kendl Capital Limited; Russell Grant Van Skiver; Bertho Holdings Ltd.; Robert William Boswell; Haight-Ashbury Media Consultants Ltd.; Ashkan Shahrokhi; Saiya Capital Corporation; Tara Kerry Haddad; Keir Paul MacPherson; Tollstam & Company Chartered Accountants; Albert Kenneth Tollstam; 727 Capital; David Raymond Duggan; Viral Stocks Inc.; 10X Capital; Cryptobloc Technologies Corp.; New Point Exploration Corp.; Green 2 Blue Energy Corp.; BLOK Technologies Inc.; Kootenay Zinc Corp.; Affinor Growers Inc.; Beleave Inc.; Liht Cannabis Corp. (formerly known as Marapharm Ventures Inc.); PreveCeutical Medical Inc.; Speakeasy Cannabis Club Ltd.; Abattis Bioceuticals Corp.; 1153307 B.C. Ltd.; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Illegal distribution
Panel: Nigel P Cave - Chair, Judith Downes, Audrey T. Ho
Note: Temporary Order issued. On January 15, 2019, the Panel extended and modified temporary orders for some of the respondents to April 10, 2019. The panel did not extend temporary orders against other respondents. On April 9, 2019, at 10:00am, the Panel will hear the Executive Director’s application to extend the temporary orders.
2019-04-25; 2019-06-19 - 2019-06-20; Aly Babu Husein Mawji; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: George C. Glover - Chair, Suzanne K Wiltshire
Note: The executive director has applied for an order under section 161(6) of the Act. On April 25, 2019, the panel will hear the parties' preliminary applications. The hearing is scheduled to start June 19, 2019.
2019-05-06 - 2019-05-07; 2019-05-10 - 2019-05-16; 2019-05-22 - 2019-05-24; Forum National Investments Ltd.; Daniel Clozza; Martin Tutschek; Grant Curtis; Robert Logan Dunn; Douglas Corrigan; Mosaic Holdings Inc.; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; False or misleading statements to the commission; Manipulation/Misleading trading
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. On June 15, 2018, the executive director issued an amended notice of hearing. The hearing is scheduled to start on May 6, 2019.
2019-05-22; 2019-09-03 - 2019-09-04; 2019-09-06; 2019-09-09 - 2019-09-23; 2019-09-27 - 2019-10-02; 2019-10-04; Aik Guan "Frankie" Lim; Scott Thomas Low; FS Financial Strategies Inc.; FS Financial Services Inc.; FS Financial Strategies Services Inc.; FS Financial Services (Alberta) Inc.; Darrell Wiebe; Chun Ying "Jim" Pan; Chung-Sheng "Johnson" Kao; CC Cornerstone Credit Ltd. (now known as Flexfi Inc.); Afshin Ardalan; WL Strategic Capital Partners Inc.; George Lay; Hunter Wei-Shun Wang (aka Hunter Wei Shun Wang); FS Stellar Insurance Services Inc.; Nyit Foon "Lydia" Chin; Aike Joo Lim; Verico FS Capital Inc.; Gagan Deep Bachra; FS Financial Systems Inc.; Chi Kay "Dixon" Wong; Meng Cher "Philip" Tsai; 3i Capital ClearPath Limited Partnership; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Fraud; Illegal distribution; Trading without registration
Panel: Nigel P Cave - Chair, Audrey T. Ho, Gordon L. Holloway
Note: Temporary order issued on February 6, 2017. On June 1, 2018, the executive director discontinued the proceedings against the respondents Flexfi and Ardalan. On June 7, 2018, the panel revoked the temporary order as against Flexfi and Ardalan. On October 24, 2018, the executive director issued an Amended notice of hearing. On November 6, 2018, the executive director discontinued the proceedings against respondents WL Strategic, Wang, FS Stellar, Chin and Aike Lim. On January 9, 2019, the panel extended the varied temporary order against all the remaining respondents, except Chun Ying Pan, until October 4, 2019. The hearing is scheduled to start on September 3, 2019. The Commission will hold a hearing management meeting on May 22, 2019 at 9:00am.
[+] Show All

Action Pending

Hearing Status Hearing Information
Action pendingDominionGrand II Mortgage Investment Corporation; DominionGrand Investment Fund Inc.; Donald Bruce Edward Wilson; David Scott Wright; Patrick K. Prinster; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, Judith Downes, George C. Glover
Note: The Panel's Findings are due June 10, 2019.
Action pendingecoTECH Energy Group Inc., currently known as Dong Fang Hui Le Inc.; Colin V. Hall; Rolf Eugster; Anne Sanders; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Misrepresentation; Contravening a decision
Panel: Nigel P Cave - Chair, George C. Glover, Audrey T. Ho
Note: The Panel's findings are due on June 5, 2019.
Action pendingJames Francis Gerard Callaghan; TSX Venture Exchange Inc.; Executive Director
[+] Show Additional Information
Hearing Type: Review
Allegations:
Panel: Nigel P Cave - Chair, Audrey T. Ho
Note: On August 31, 2017, Mr. Callaghan applied to the Commission for a review of the TSX Venture Exchange's decision dated August 1, 2017. On December 10 and 11, 2018, the panel heard oral submissions on Mr. Callaghan’s application for review and requested further submissions. The Panel’s decision is due April 1, 2019.
Action pendingMatthew John Hamilton; Braeden William Sinclair Lichti (aka Braeden Sinclair); Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: Hearing concluded. The Panel’s decision is due April 4, 2019.
Action pendingMountainstar Gold Inc.; Brent Hugo Johnson; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: False or misleading statements to the commission
Panel: Judith Downes - Chair, Audrey T. Ho, Don Rowlatt
Note: The Panel issued its findings on October 12, 2018. The panel heard the parties submissions on sanctions on February 22, 2019. The parties' further submissions on sanctions are due March 15, 2019.
[+] Show All

Reciprocal Order

Hearing Status Hearing Information
Reciprocal orderEdward Earl Chieduch; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, Audrey T. Ho
Note: The Commission issued its decision on March 4, 2019.
Reciprocal orderMitchell Gordon Adam; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement - Reciprocal order
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, Audrey T. Ho
Note: The Commission issued its decision on March 4, 2019.

Matter Concluded

Hearing Status Hearing Information
Matter concludedAlan Braun; Jerry Braun ; Steve Maxwell (aka Steven Fassman); Braun Developments (B.C.) Ltd.; 8022275 Canada Inc. c/o Chris Wainman; 0985812 B.C. Ltd. (dba TerraCorp Investment Ltd.); Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, Audrey T. Ho, Don Rowlatt
Note: On February 19, 2019, the Panel issued it's Decision.
Matter concludedGaro Aram Deyrmenjian; Raffi Khorchidian; Antoine Ratsaphong; EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A.; David Craven; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Manipulation/Misleading trading
Panel: Judith Downes - Chair, Gordon L. Holloway, Suzanne K Wiltshire
Note: On March 8, 2017, the Executive Director discontinued proceedings against Antoine Ratsaphong. The Panel issued its findings on April 25, 2018. The appellants Deyrmenjian, Khorchidian, EHT and Craven filed notices of application for leave to appeal with the BC Court of Appeal. On November 2, 2018, the panel heard submissions on EHT and Craven's application under section 171 of the Act to revoke or vary the Panel's findings, and denied the application, with reasons to follow. On January 16, 2019, the Panel heard the parties' submissions on sanction. The Panel issued it's decision on March 11, 2019.
Matter concludedStewart Douglas Loughery; Richard Dean Reoji Nawata; Military International Limited; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Contravening a decision
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: On March 4, 2019, the Panel issued it's Decision.

Under Appeal

Hearing Status Hearing Information
Under appealTin Chao Alan Lau; Executive Director
[+] Show Additional Information
Hearing Type: Enforcement
Allegations: Fraud
Panel: Judith Downes - Chair, Gordon L. Holloway, Don Rowlatt
Note: On September 19, 2016, the Panel issued its Decision. On October 7, 2016, the respondent filed a notice of application for leave to appeal with the British Columbia Court of Appeal. On October 16, 2017, the Court of Appeal placed this matter on the inactive appeal list.