Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Deborah Armour - Chair, Gordon Johnson, Jason Milne

Note:

The hearing is in progress. On June 1 and 2, 2023 respectively, the executive director entered into a settlement agreement with Robert Earle Dawson and David Malcom Alexander and discontinued proceedings against them.

Hearing Type:

Enforcement

Allegations:

Contravening a decision/order

Note:

On April 13, 2023, the executive director issued a notice of hearing. The Commission will set a date for the hearing on June 13, 2023 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Insider trading; Failure to file

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

The hearing is scheduled to start on September 11, 2023. The Commission will hold a hearing management meeting June 14, 2023, at 8:30am. On April 28, 2021, the executive director issued an amended notice of hearing and discontinued proceedings against certain parties. On June 11, 2021, the panel extended the temporary orders until a hearing is held and a decision is rendered.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Jason Milne, Marion Shaw

Note:

Hearing concluded. The parties have until June 9, 2023 to file submissions on liability. On June 15, 2023, the panel will hear oral submissions on liability.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

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

Note:

Hearing concluded. On January 30, 2023, the Panel issued its findings. The parties have until June 8, 2023, to file submissions on sanction. On June 16, 2023, the panel will hear oral submissions on sanction.

Hearing Type:

Enforcement

Allegations:

Advising without registration

Note:

On April 18, 2023, the executive director issued a notice of hearing. The commission will set a date for the hearing on June 22, 2023, at 9:00am.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Insider trading

Panel:

Judith Downes - Chair, James Kershaw, Marion Shaw

Note:

The hearing is scheduled to start on June 23, 2023. On February 15 and March 2, 2023, Mr. Morabito and Global Crossing applied for a stay of proceedings. The Panel's decision is pending. On September 6, 2022, the Commission heard the parties' oral submissions on the Applicants' disclosure applications. The Panel issued its ruling on October 18, 2022 and supplemental rulings on February 17 and April 3, 2023. The Panel issued its reasons on the second supplemental ruling on May 4, 2023. The reasons for ruling on disclosure will follow. On April 27, 2023, Mr. Morabito filed a Notice of Appeal with the BC Court of Appeal.

Hearing Type:

Enforcement

Allegations:

Fraud

Note:

On April 18, 2023, the executive director issued a notice of hearing. The Commission will set a date for the hearing on June 27, 2023, at 9:00am.

Hearing Type:

Enforcement

Panel:

Marion Shaw - Chair, Deborah Armour, Karen Keilty

Note:

The hearing is scheduled to start on March 4, 2024. The Commission will hold a hearing management meeting on June 28, 2023, at 2:00pm.

Hearing Type:

Enforcement

Allegations:

Registrant misconduct

Panel:

Deborah Armour - Chair, Judith Downes, Marion Shaw

Note:

The hearing is scheduled to start on January 8, 2024. The Commission will hold a hearing management meeting on September 21, 2023 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Hearing concluded. The parties have until June 16, 2023 to file written submissions on liability. The Panel will hear oral submissions on liability on October 10, 11 and 12, 2023.

Hearing Type:

Enforcement

Allegations:

Misrepresentation

Panel:

James Kershaw - Chair, Gordon Johnson, Jason Milne

Note:

The Commission will hold a hearing management meeting on October 17, 2023, at 9:00am. The hearing is scheduled to start on December 4, 2023.

Hearing Type:

Enforcement

Allegations:

Trading without registration

Panel:

Gordon Johnson - Chair, Judith Downes, James Kershaw

Note:

The Commission will hold a hearing management meeting on October 19, 2023, at 9am, by video conference. The hearing is scheduled to start on November 27, 2023.

Hearing Type:

Review

Panel:

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

Note:

On June 16, 2021 the parties applied for various orders. On July 16, 2021, the Panel issued a Ruling. This matter is proceeding in camera. The parties’ have until August 25, 2023 to file submissions. The Panel will hear the application on November 8 and 9, 2023.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution

Panel:

Gordon Johnson - Chair, Karen Keilty, Jason Milne

Note:

Hearing concluded. The executive director has until June 16, 2023 to file written submissions.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Jason Milne

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:

False or misleading statements; Misrepresentation

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Hearing concluded. On April 14, 2023, the Panel issued its Findings. The parties have until June 12, 2023 to file written submissions on sanctions.

Hearing Type:

Enforcement

Allegations:

Fraud; Illegal distribution; Obstruction of justice

Panel:

James Kershaw - Chair, Deborah Armour, Jason Milne

Note:

Hearing concluded. The parties have until July 4, 2023, to file written submissions on liability.

Hearing Type:

Review

Note:

On March 10, 2023, an application was made under section 171 of the Act for a variation or revocation of certain preservation orders.

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:

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. On March 1, 2023, the BC Court of Appeal issued its reasons for judgment and remitted the matter back to the Commission. The parties' have until June 23, 2023, to file submissions.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Judith Downes, Jason Milne

Note:

On July 11, 2022, an application was made under section 114 of the Securities Act for certain orders. The Panel heard this application on July 29 and August 2, 2022 and issued its Ruling on August 3, 2022, with reasons to follow.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, James Kershaw

Note:

The executive director has applied for orders under section 161(6) and 161(1) of the Securities Act. Hearing concluded. The parties have until June 2, 2023 to file additional submissions.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Panel:

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

Note:

On May 18, 2023, the Panel issued its decision.

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:

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:

Enforcement

Note:

On May 12, 2023, the executive director issued a temporary order under section 161 of the Securities Act.

Hearing Type:

Review

Panel:

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

Note:

On June 10, 2022, an application was made under section 171 of the Act to vary or revoke certain freeze orders. This matter is proceeding in camera. On January 23, 2023, the panel heard the application and reserved its decision. The panel issued its decision on May 23, 2023.

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:

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.