Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Note:

On July 27, 2022, the Executive Director issued a notice of hearing. The Commission will set a date for the hearing on October 13, 2022 at 9:00am.

Hearing Type:

Enforcement

Panel:

Audrey T. Ho - Chair, Deborah Armour, James Kershaw

Note:

The hearing is scheduled to start on October 24, 2022. On September 12, 2022, the Executive Director entered into a settlement agreement with Geoffrey Rajay Sidhu and discontinued proceedings against him.

Hearing Type:

Enforcement

Allegations:

Registrant misconduct

Panel:

Deborah Armour - Chair, Judith Downes, Marion Shaw

Note:

The Commission will set a date for the hearing on October 27, 2022, at 9:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

On April 28, 2021, the executive director issued an amended notice of hearing. On June 11, 2021 the panel extended the temporary orders until a hearing is held and decision rendered. The hearing is scheduled to start on November 1, 2022. The Commission will hold a hearing management meeting on September 21, 2022, at 9:00am, by telephone conference.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Obstruction of justice

Panel:

James Kershaw - Chair, Deborah Armour, Jason Milne

Note:

The hearing is scheduled to start on March 20, 2023. The Commission will hold a hearing management meeting on November 1, 2022, at 9:00am.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

On May 27, 2022, the executive director entered into a settlement agreement with Norman Wareham and discontinued the proceedings against him. Hearing concluded. The Panel will hear oral submissions on liability on November 4, 2022.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Jason Milne, Marion Shaw

Note:

The hearing is scheduled to start on February 23, 2023. The Commission will hold a hearing management meeting on November 30, 2022 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

The hearing is scheduled to start on March 6, 2023. The Commission will hold a hearing management meeting on December 6, 2022 at 9:00am.

Hearing Type:

Enforcement

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

On September 6, 2022, the Commission heard the parties' oral submissions on the Applicants' disclosure applications. The Panel's ruling is pending. The hearing is scheduled to start on April 11, 2023.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

The hearing is scheduled to start on April 17, 2023.

Hearing Type:

Review

Note:

On February 18, 2022, Anglo-Bomarc Mines Ltd. requested a review of the TSXV's decision effective December 6, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

Hearing concluded. The Panel's findings are pending. The Executive Director entered into settlement agreements with Monita Hung Mui Chan and Marie Joy Vincent and discontinued proceedings against them on April 19, 2021.

Hearing Type:

Review

Panel:

George C. Glover - Chair, Deborah Armour, Marion Shaw

Note:

The Applicant has requested a review of a TSX Venture Exchange Decision.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Fraud

Panel:

Gordon Johnson - Chair, Audrey T. Ho, James Kershaw

Note:

Hearing concluded. The Panel issued its Findings on August 8, 2022. The parties have until September 27, 2022 to file submissions on sanctions.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Panel:

Gordon Johnson - Chair, George C. Glover, Marion Shaw

Note:

Hearing Completed. The Panel's Findings are due.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; False or misleading statements; Insider trading

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

The Panel's decision is pending.

Hearing Type:

Review

Panel:

James Kershaw - Chair, George C. Glover, Gordon Johnson

Note:

On August 25, 2021, an application was made under section 171 of the Securities Act to revoke certain preservation orders. This matter is proceeding in camera.

Hearing Type:

Review

Panel:

Marion Shaw - Chair, George C. Glover, James Kershaw

Note:

On October 18, 2021, an application was made under section 171 of the Securities Act to revoke certain freeze orders. This matter is proceeding in camera. On June 21, 2022, the panel heard the application and reserved its decision.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Karen Keilty, Marion Shaw

Note:

On October 28, 2021, an application was made to review IIROC reasons for judgement.This matter is proceeding in camera.

Hearing Type:

Review

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

On April 29, 2022, an application was made under section 171 of the Securities Act to revoke certain preservation orders. The hearing is adjourned generally. This matter is proceeding in camera.

Hearing Type:

Review

Note:

On June 10, 2022, an application was made under section 171 of the Act to revoke certain freeze orders. This matter will proceed in camera. The parties have until September 30, 2022, to file submissions.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

Audrey T. Ho - Chair, Deborah Armour, Judith Downes

Note:

On September 24, 2021, the Executive Director issued a notice of hearing. On July 7, 2022, the Executive Director entered into a settlement agreement with Hello Pal International Inc. and Ryan James Johnson and discontinued proceedings against them. On August 4, 2022, the Executive Director entered into a settlement agreement with Bearing Lithium Corp. and Jeremy Arthur William Poirier and discontinued proceedings against them. On September 12, 2022 the Executive Director entered into a settlement agreement with Chad David McMillan and discontinued proceedings against him and against Phivida Holdings Inc. On September 14, 2022 the Executive Director entered into a settlement agreement with MGX Minerals Inc. and Jared Michael Lazerson and discontinued proceedings against them. Hearing concluded. The parties have until November 2, 2022, to file submissions on liability.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Judith Downes, Karen Keilty

Note:

Hearing concluded. The Panel's Findings are due November 23, 2022.

Hearing Type:

Enforcement - Reciprocal order

Note:

On May 18, 2022, the executive director applied for orders under sections 161(6)(a)(i) and 161(1) of the Securities Act. The panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The executive director has applied for an order under sections 161(6)(d) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

On June 3, 2022, the executive director applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The respondent has until October 3, 2022, to file submissions.

Hearing Type:

Enforcement - Reciprocal order

Note:

On May 27, 2022, the executive director applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The Executive Director has applied for orders under sections 161(1) and (6) of the Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The executive director has applied for an order under sections 161(6)(d) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for an order under sections 161(6)(b), (c), and (d) and 161(1) of the Securities Act.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for an order under sections 161(6)(b) and 161(1) of the Securities Act. The Panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The executive director has applied for an order under section 161(6) of the Act. The panel's decision is pending.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Judith Downes

Note:

The executive director has applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The panel's decision is pending.

Hearing Type:

Review

Panel:

Deborah Armour, Marion Shaw

Note:

The Attorney General for British Columbia requested the Commission to refer a stated case to the British Columbia Supreme Court challenging the constitutional validity of s. 151 of the Securities Act. The hearing was held in November 2020. The British Columbia Supreme Court issued its Reasons for Judgment on July 27, 2021. On August 23 and 26, 2021, the appellants filed Notices of Appeal with the British Columbia Court of Appeal.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Judith Downes - Chair

Note:

On March 8, 2017, the Executive Director discontinued proceedings against Antoine Ratsaphong. Hearing concluded. 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. The Panel issued it's decision on March 11, 2019. On April 8, 2019, Raffi Khorchidian filed a notice of application for leave to appeal with the BC Court of Appeal. On September 16, 2019, Garo Deyrmenjian filed an Amended Notice of Application for leave to appeal. Garo Deyrmenjian's and Raffi Khorchidian's leave applications are scheduled for November 13, 2019. On November 14, 2019 Leave to appeal was partially granted.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Judith Downes - Chair, Deborah Armour

Note:

The Panel issued it's decision on April 16, 2021. On September 7, 2021, Hunter Wei-Shun Wang filed a notice of application for leave to appeal the Commission's decision in the British Columbia Court of Appeal.

Hearing Type:

Enforcement

Allegations:

False or misleading statements

Panel:

Judith Downes - Chair, Audrey T. Ho

Note:

The Panel issued its findings on October 12, 2018. The Panel issued its decision on April 9, 2019. On May 6, 2019, Mountainstar Gold and Brent Hugo Johnson filed a notice of application for leave to appeal with the BC Court of Appeal and on September 11, 2020 were granted leave to appeal. The appeal will be heard on September 29, 2022.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Audrey T. Ho

Note:

On January 7, 2021, the applicant applied under section 171 of the Securities Act to revoke an Investigation Order. On May 17, 2021, the Panel heard the application and reserved its ruling. This matter is proceeding in camera. The Panel issued its Ruling on October 6, 2021. On October 20, 2021 the Appellants applied to the British Columbia Court of Appeal for leave to appeal. On December 10, 2021, the Court of Appeal granted leave. The Appeal hearing is set for June 9, 2022.