Hearing Schedule

Hearing Type:

Enforcement

Allegations:

Fraud; Misrepresentation

Panel:

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

Note:

On March 29, 2021 Sabrina Ling Huei Wei applied to adjourn the hearing. On March 30, 2021 the Panel adjourned the hearing and added new hearing dates. The hearing is scheduled to start on April 19, 2021.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, James Kershaw

Note:

The executive director has applied for orders under section 161 of the Securities Act. The hearing is scheduled to start on April 29, 2021.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; Contravening a decision/order

Panel:

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

Note:

On February 4, 2021, Patrick Aaron Dunn applied for a revocation of a preservation order. The Panel will hear the application on May 3, 2021. The Commission will hold a hearing management meeting on October 27, 2021, at 9am. The hearing is scheduled to start on November 22, 2021.

Hearing Type:

Enforcement

Allegations:

Trading without registration; Advising without registration

Panel:

Gordon Johnson - Chair

Note:

The Commission will set a date for the hearing on May 12, 2021, at 9:00 a.m.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Misrepresentation

Panel:

Judith Downes - Chair, Deborah Abbey, Gordon Johnson

Note:

Hearing concluded. The parties have until May 7, 2021 to provide submissions on liability. The Panel will hear oral submissions on liability on May 14, 2021.

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. The Commission is scheduled to hear the application on May 17 and 18, 2021.This matter is proceeding in camera.

Hearing Type:

Enforcement

Allegations:

Disclosure violations; False or misleading statements; Insider trading

Panel:

Gordon Johnson - Chair, Judith Downes, Marion Shaw

Note:

The Commission will hold a hearing management meeting on May 18, 2021, at 10:00am, by telephone conference. The hearing is scheduled to start on June 21, 2021.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair, Deborah Armour, Marion Shaw

Note:

The hearing is scheduled to start on May 25, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

Judith Downes - Chair, Deborah Armour

Note:

The respondents have until April 21, 2021, to file submissions on liability. The panel will hear oral submissions on liability on June 8 and 9, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

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

Note:

The Commission will hold a hearing management meeting on June 25, 2021, at 10:00am, by video conference. The hearing is scheduled to commence on September 7, 2021.

Hearing Type:

Review

Panel:

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

Note:

On December 14, 2020, IIROC applied for a review of an IIROC hearing panel's order and reasons for decision. The parties have until June 9, 2021 to file submissions. The hearing is scheduled to start on July 5, 2021.

Hearing Type:

Enforcement

Allegations:

False or misleading statements; Fraud

Panel:

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

Note:

The Commission will hold a hearing management meeting on September 21, 2021, at 9:00am. The hearing is scheduled to start on November 8, 2021.

Hearing Type:

Enforcement

Panel:

Gordon Johnson - Chair, Deborah Armour, Marion Shaw

Note:

The hearing is scheduled to commence on February 28, 2022. The Commission will hold a hearing management meeting on December 1, 2021 at 9:00am.

Hearing Type:

Enforcement

Allegations:

Disclosure violations

Panel:

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

Note:

The Panel's findings are due April 20, 2021.

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.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; Illegal distribution

Panel:

Audrey T. Ho - Chair, Judith Downes

Note:

On May 29, 2019, the Panel issued its Decision and Reasons for Decision and extended the Temporary Order until May 27, 2020. On October 8, 2019, Notice of Application for Leave to Appeal was filed on behalf of the BridgeMark group. On October 10, 2019, the Liu and Lukor Group filed a Notice of Application for Leave to Appeal. The appeal will be held September 11,2020. On May 5, 2020, the Executive Director entered into settlement agreements with SpeakEasy Cannabis Club Ltd. and discontinued proceedings against them. On May 26, 2020, the Panel issued its Decision on the Executive Director's application to extend temporary orders. On June 12, 2020, the Panel issues its Reasons for Decision. On July 10, and August 26, 2020, the Panel issued Rulings on certain applications.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, James Kershaw

Note:

Enna Keller has applied under section 171 of the Securities Act to vary the Commission's decision dated February 14, 2017.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements; Manipulation/Misleading trading

Panel:

Suzanne K Wiltshire - Chair, George C. Glover

Note:

The Panel's Findings are due July 27, 2021.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Gordon Johnson - Chair, Deborah Armour, Judith Downes

Note:

The Panel's findings are pending.

Hearing Type:

Review

Panel:

Gordon Johnson - Chair, Deborah Armour, Judith Downes

Note:

On June 18, 2020, Ms. Li requested a review of the MFDA's decision dated February 6, 2020.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Panel:

Suzanne K Wiltshire

Note:

On January 25, 2010, the Commission issued its decision under section 161(6) of the Act (2010 BCSECCOM 64). On February 5, 2010, the executive director discontinued its proceedings under the notice of hearing (2010 BCSECCOM 72). On October 9, 2019, Mr. Wong applied under s. 171 of the Act to vary the Commission's decision issued January 25, 2010. The application is adjourned generally.

Hearing Type:

Review

Note:

Rodney John Snider has applied for a variation of the Commission’s January 8, 2016 decision.

Hearing Type:

Enforcement - Reciprocal order

Allegations:

Acting contrary to public interest

Note:

The Executive Director has applied for orders under section 161(6) of the Act.

Hearing Type:

Enforcement - Reciprocal order

Note:

The executive director has applied for orders under section 161 of the Securities Act.

Hearing Type:

Enforcement

Allegations:

Acting contrary to public interest; False or misleading statements

Panel:

Judith Downes - Chair, Deborah Abbey, Deborah Armour

Note:

The Panel's decision was issued April 16, 2021.

Hearing Type:

Enforcement - Reciprocal order

Panel:

Gordon Johnson - Chair, Deborah Armour

Note:

The Commission issued its decision on March 31, 2021.

Hearing Type:

Enforcement

Allegations:

Fraud

Panel:

George C. Glover - Chair, Audrey T. Ho

Note:

The Panel issued its decision on July 16, 2020. On August 13, 2020, Liao filed a notice of application for leave to appeal the Commission's decision in BC Court of Appeal No. CA046964.

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. 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:

False or misleading statements

Panel:

Judith Downes - Chair, Audrey T. Ho, Don Rowlatt

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.

Hearing Type:

Enforcement

Allegations:

Manipulation/Misleading trading

Panel:

Suzanne K Wiltshire - Chair, George C. Glover, Audrey T. Ho

Note:

On March 28, 2017, Mr. Leyk filed an application to have the orders against him permanently removed on the grounds that the executive director had not provided him with notice of the proceeding. The panel heard this application in writing and issued its decision on December 5, 2018. On December 27, 2018, Mr. Leyk filed a notice of application for leave to appeal with the British Columbia Court of Appeal. On January 28, 2018, Mr. Leyk filed an application for an order for disclosure and permanently cancelling the Findings and Decision. The panel heard these applications in writing and issued its decision on April 18, 2019. On May 13, 2019, Mr. Leyk filed a Notice of Application for Leave to Appeal with the British Columbia Court of Appeal.