Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

The hearing will continue on April 29, 2024.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair

Note:

On January 31, 2024, the Executive Director issued a notice of hearing. The Commission will set a date for the hearing on May 14, 2024, at 9:00am

Hearing Type:

Enforcement

Allegations:

False or misleading statements

Note:

On February 28, 2024, the executive director issued a notice of hearing. The Commission will set a date for the hearing on May 14, 2024, at 9:00am.

Hearing Type:

Enforcement

Allegations:

Failed to comply with a summons or demand

Note:

On April 17, 2024, the Executive Director issued a notice of hearing. The Commission will set a date for the hearing on May 14, 2024 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

James Kershaw - Chair, Gordon Johnson, Jason Milne

Note:

The hearing is scheduled to start on May 27, 2024. On November 29, 2023, Michael Young entered into a settlement agreement with the executive director and the proceedings were discontinued against him.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Misrepresentation

Note:

The executive director issued a notice of hearing on February 20, 2024. The Commission will set a date for a hearing on May 28, 2024 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Note:

On April 24, 2024, the Executive Director issued a Notice of Hearing. The Commission will set a date for the hearing on June 25, 2024 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution; Misrepresentation

Panel:

Marion Shaw - Chair, Gordon Johnson, Karen Keilty

Note:

On November 17, 2023, the Executive Director issued a notice of hearing. The panel will hold a hearing management meeting on September 16, 2024 at 9:00am. The hearing is scheduled to start on January 27, 2025.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

James Kershaw - Chair, Karen Keilty, Marion Shaw

Note:

On October 24, 2023, the Executive Director issued a notice of hearing. The hearing is scheduled to start on October 29, 2024.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Hearing concluded. On October 10 and 11, 2023, the Panel heard oral submissions. The Panel’s findings are pending.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Deborah Armour - Chair, Gordon Johnson, Jason Milne

Note:

Hearing concluded. The Panel issued its findings on February 1, 2024. The Panel's decision is due May 17, 2024. On June 1 and 2, 2023 respectively, the executive director entered into settlement agreements with Robert Earle Dawson and David Malcom Alexander and discontinued proceedings against them.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Audrey T. Ho - Chair, James Kershaw, Marion Shaw

Note:

On April 18, 2023, the executive director issued a notice of hearing. The hearing has concluded. The parties have until May 17, 2024, to file submissions on liability.

Hearing Type:

Review

Panel:

Deborah Armour - Chair, James Kershaw, Jason Milne

Note:

On March 10, 2023, an application was made under section 171 of the Act.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Karen Keilty

Note:

On November 7, 2023, Mr. Dhala applied under s. 171 of the Act to vary the Commission's decision 2015 BCSECCOM 336 dated August 31, 2015. The matter will proceed in writing.

Hearing Type:

Enforcement

Allegations:

Trading without registration; Advising without registration

Panel:

Marion Shaw - Chair, Deborah Armour, Karen Keilty

Note:

The executive director issued a notice of hearing on December 18, 2022. On November 23, 2023, Mr. Lamarche applied for various orders. On March 20, 2024, the panel heard Mr. Lamarche's application.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

Gordon Johnson - Chair, Judith Downes, James Kershaw

Note:

Hearing concluded. The Panel's findings are pending.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Panel:

Gordon Johnson - Chair, Marion Shaw

Note:

On May 18, 2023, the Panel issued its decision. On June 16, 2023, Patrick Aaron Dunn applied for leave to appeal to the British Columbia Court of Appeal. On July 27, 2023, Patrick Aaron Dunn applied to vary the Commission’s decision 2023 BCSECCOM 251 dated May 18, 2023. On October 12, 2023, the Court of Appeal dismissed leave to appeal On October 16, 2023, the panel issued a variation order. On April 16, 2024, Patrick Aaron Dunn applied for a further variation of the Commission's May 18, 2023, decision. This matter will proceed in writing.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Jason Milne, Marion Shaw

Note:

Hearing concluded. The Panel’s findings are pending.

Hearing Type:

Review

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:

Enforcement

Allegations:

Manipulation/Misleading trading; Misrepresentation

Panel:

Audrey T. Ho - Chair, Gordon Johnson, Marion Shaw

Note:

On January 10, 2024, the Executive Director issued a notice of hearing. The notice of hearing has not been made public pending the determination of an application for anonymization. The hearing is scheduled to start on December 9, 2024.

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 respondent has until May 3, 2024 to file submissions.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Obstruction of justice

Panel:

James Kershaw - Chair, Deborah Armour, Jason Milne

Note:

Hearing concluded. On April 12, 2024, the Panel issued its decision.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest

Panel:

Deborah Armour - Chair, Jason Milne, Marion Shaw

Note:

On November 16, 2023, the executive director issued a temporary order under s.161(2) of the Act. On November 29, 2023, after hearing the executive director's application to extend the temporary order, the panel granted the application to the earlier of one year or until a hearing is held and a decision rendered. The panel’s reasons for ruling were issued on April 4, 2024.

Hearing Type:

Enforcement

Panel:

Marion Shaw - Chair, Deborah Armour

Note:

On May 5, 2021, the Executive Director entered into a settlement agreement with the respondent and discontinued proceedings against him. On April 9, 2024, the Panel issued its ruling on the executive directors application under s. 15.1.

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 - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Gordon Johnson - Chair, Jason Milne

Note:

On June 3, 2022, the executive director applied for orders under sections 161(6)(b) and 161(1) of the Securities Act. The Commission issued its decision on March 29, 2023. On April 27, 2023, Mr. Dean filed a Notice of Appeal with the BC Court of Appeal. On May 24, 2023, Mr. Dean applied to vary the Commission's decision. On May 26, 2023, the panel issued a variation order.

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:

Disclosure violations; Insider trading

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

On August 17, 2023, the panel issued a Ruling and Reasons for Ruling cited as Re Morabito, 2023 BCSECCOM 405 (Stay Ruling), dismissing applications by the respondents seeking orders that the proceedings arising from the Notice of Hearing be permanently stayed as an abuse of process. On October 16, 2023, the British Columbia Court of Appeal granted leave to appeal from the Stay Ruling and stayed the liability proceedings in this matter pending the final disposition of the appeal or further order of that Court. Liability proceedings are currently stayed by order of the Court of Appeal.

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 Court of Appeal issued its Judgment on August 12, 2022. On October 11, 2022, the Appellants applied to the Supreme Court of Canada for leave to appeal.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Gordon Johnson - Chair, Judith Downes, Karen Keilty

Note:

Hearing concluded. On April 18, 2023, the Panel issued it's decision. On May 1, 2023, SHH Holdings Limited and Timothy Durkin filed a notice of application for leave to appeal with the BC Court of Appeal.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

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

Note:

On April 25, 2023, the Panel issued a temporary order. On May 10, 2023, the Panel heard an application and extended the temporary order to May 10, 2024. On June 13, 2023, the Panel issued its Reasons for Ruling. On June 16, 2023, the Panel issued its Ruling on modified hearing procedures. The hearing will proceed in writing.