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
2018-01-09; 2018-04-03 - 2018-04-04; 2018-04-06; 2018-04-09 - 2018-04-13; 2018-04-16 - 2018-04-17; DominionGrand II Mortgage Investment Corporation; DominionGrand Investment Fund Inc.; Donald Bruce Edward Wilson; David Scott Wright; Patrick K. Prinster; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, George C. Glover, Don Rowlatt
Note: The hearing is scheduled to start on April 3, 2018. The Commission will hold a hearing management meeting on January 9, 2018 at 9:00am.
2018-01-09; Garo Aram Deyrmenjian; Raffi Khorchidian; Antoine Ratsaphong; EuroHelvetia TrustCo. S.A. now known as EHT Corporate Services S.A.; David Craven; Executive Director
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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. On January 9, 2018, the Panel will hear the parties' submissions on liability.
2018-01-12; 2018-04-10; 2018-05-22; 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; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest
Panel: Nigel P Cave - Chair, Audrey T. Ho, Gordon L. Holloway
Note: Temporary order issued on February 6, 2017. On February 17, 2017, the Panel extended and varied the temporary order until March 8, 2017. On March 8, 2017, the Panel extended the temporary order (as varied) to May 19, 2017 and adjourned the executive director's application to extend the temporary order to May 17, 2017. On May 16, 2017, the Panel extended the temporary order and adjourned the executive director's application to extend the temporary order to May 22, 2018. The Commission will hold a hearing management meeting on November 22, 2017 and April 10, 2018 at 9:00am. On October 5, 2017, the respondents Lim and Low applied for a revocation of a freeze order and the Panel will hear that application on January 12, 2018.
2018-01-15 - 2018-01-19; 2018-01-22 - 2018-01-23; Titan-West Explorations Inc.; Darren Scott Davidson; Paul Webster; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud; Contravening a decision
Panel: Nigel P Cave - Chair, George C. Glover, Suzanne K Wiltshire
Note: The hearing is scheduled to start on January 15, 2018.
2018-01-24; 2018-01-26; James Francis Gerard Callaghan; TSX Venture Exchange; Executive Director
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Hearing Type: Review
Allegations:
Panel: Nigel P Cave - Chair, Audrey T. Ho, Don Rowlatt
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. The parties' submissions are due January 9, 2018. The hearing is scheduled to start on January 24, 2018.
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Hearings in Writing

Hearing Status Hearing Information
Hearing in writingRandi A. Bochinski; Executive Director
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Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: Nigel P Cave - Chair, Don Rowlatt
Note: The executive director has applied for orders under section 161 of the Securities Act. On October 5, 2017, the Panel issued its decision. On October 13, 2017, Mr. Bochinski requested a review the Panel's October 5, 2017 decision. The Panel will hear that application in writing. The parties' submissions are due January 16, 2018.

Action Pending

Hearing Status Hearing Information
Action pendingAyaz Dhanani (also known as Azim Virani); Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Fraud
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: Hearing concluded. The Panel issued its decision on December 16, 2016. On September 28, 2017, the Commission received applications under s. 15.1 of the Act. On December 7, 2017, the Panel granted the applications. The Panel's Reasons for Decision are due February 28, 2018.
Action pendingForum National Investments Ltd.; Daniel Clozza; Martin Tutschek; Grant Curtis; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest
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.
Action pendingInvestment Industry Regulatory Organization of Canada; Alberto Tassone; Executive Director
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Hearing Type: Review
Allegations:
Panel:
Note: IIROC has requested a review of an IIROC hearing panel liability decision, dated February 23, 2017. The Commission will set a date for the hearing after the IIROC panel has made its decision on penalty.
Action pendingLynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management); Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Suzanne K Wiltshire - Chair, Judith Downes, Don Rowlatt
Note: On November 2, 2012, the Panel, by consent, issued a temporary order until a hearing is held and a decision rendered. On August 18, 2017, the Panel issued its Findings. On November 24, 2017, the Panel heard oral submissions on sanction. The Panel's decision is due December 27, 2017.
Action pendingPaul Se Hui Oei; Canadian Manu Immigration & Financial Services Inc.; 0863220 B.C. Ltd.; 0905701 B.C. Ltd; Organic Eco-Centre Corp.; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, Audrey T. Ho, Suzanne K Wiltshire
Note: The Panel issued its findings on December 12, 2017. The parties' submissions on sanctions are due April 30, 2018.
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Reciprocal Order

Hearing Status Hearing Information
Reciprocal orderDavid Charles Phillips; Executive Director
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Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: Nigel P Cave - Chair
Note: The executive director has applied for orders under section 161 of the Securities Act. A decision is pending.
Reciprocal orderJohn Russell Wilson; Executive Director
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Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: Nigel P Cave - Chair
Note: The executive director has applied for orders under section 161 of the Securities Act. A decision is pending.

Matter Concluded

Hearing Status Hearing Information
Matter concludedRene Joseph Branconnier; Executive Director
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Hearing Type: Enforcement - Reciprocal order
Allegations:
Panel: Nigel P Cave - Chair, George C. Glover
Note: The executive director has applied for orders under section 161 of the Securities Act. On November 16, 2017, the Panel issued its decision.
Matter concludedVolkmar Guido Hable; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Manipulation/Misleading trading
Panel: Nigel P Cave - Chair, Don Rowlatt, Suzanne K Wiltshire
Note: Temporary order issued. On December 22, 2016, the Commission held a hearing, and by consent of the parties, extended the temporary order until a hearing is held and a decision is rendered. The Panel issued its findings on June 26, 2017. Hearing concluded.The Panel issued its decision on November 7, 2017.

Under Appeal

Hearing Status Hearing Information
Under appealBrendan James Schouw; Hornby Residences Ltd.; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, George C. Glover, Audrey T. Ho
Note: Hearing concluded. The Panel issued its decision on May 17, 2017. On June 16, 2017, Brendan Schouw filed a notice of application for leave to appeal with the British Columbia Court of Appeal. The Appellant has not filed his application.
Under appealLarry Keith Davis; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Suzanne K Wiltshire - Chair, George C. Glover, Don Rowlatt
Note: On March 22, 2017, the Court of Appeal granted leave to appeal the Commission's sanctions and liability decisions and a stay pending the hearing of the appeal. The appeal will be heard by the Court of Appeal on January 8, 2018.
Under appealSiu Mui 'Debbie' Wong; Siu Kon 'Bonnie' Soo; Wheatland Industrial Park Inc.; 1300302 Alberta Inc.; D & E Arctic Investments Inc.; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud; Illegal distribution
Panel: Audrey T. Ho - Chair, Judith Downes
Note: The panel issued its findings on June 16, 2016 and its decision on February 20, 2017. The appellants Siu Mui Wong and Siu Kon Soo have filed notices of application for leave to appeal with the British Columbia Court of Appeal. The leave application will be heard by the Court of Appeal on March 27, 2018.
Under appealThomas Arthur Williams; Global Wealth Creation Opportunities Inc.; Global Wealth Creation Opportunities Inc. (Belize); Global Wealth Financial Inc.; Global Wealth Creation Strategies Inc.; CDN Global Wealth Creation Club RW-TW; 2002 Concepts Inc.; Susan Grace Nemeth; Renee Michelle Penko; Paul Finney; Irene G. Beilstein ; Christina Kiemel; Helena Yvonne Becker; Dennis Carl Weigel; Daniel Quoming Sam; Eric Clark; Sharon Downing; Robert Laudy Williams; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Fraud; Illegal distribution; Trading without registration
Panel: Nigel P Cave - Chair, George C. Glover, Don Rowlatt
Note: On March 8, 2017, the Court of Appeal granted leave to appeal the Commission's liability and sanctions decisions. On September 18, 2017 the Court of Appeal placed this matter on the inactive appeal list.
Under appealTin Chao Alan Lau; Executive Director
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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.