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
2017-10-19 - 2017-10-20; 2017-10-23 - 2017-10-27; 2017-10-30 - 2017-10-31; SBC Financial Group Inc.; Prabhjot Singh Bakshi; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud; Illegal distribution; Trading without registration
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: The hearing is scheduled to start on October 19, 2017.
2017-10-20; 2018-01-09; Thalbinder Singh Poonian; Shailu Sharon Poonian; Robert Joseph Leyk; Manjit Singh Sihota; Perminder Sihota; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Misrepresentation
Panel: Suzanne K Wiltshire - Chair, George C. Glover, Audrey T. Ho
Note: On March 28, 2017, Mr. Leyk filed an application with the Commission to have the orders against him permanently removed. The Commission will hear Mr. Leyk’s application on November 20, 2017. On May 31, 2017, the Court of Appeal set aside the Commission's disgorgement orders as against the Poonians and Sihotas and remitted the matter back to the Commission to follow the Court's directions in considering whether to issue s.161(1)(g) orders against each of the respondents. The Commission will hear that application on January 9, 2018.
2017-11-03; 2018-02-19 - 2018-02-23; 2018-02-26 - 2018-03-02; 2018-03-05 - 2018-03-07; 2018-03-09; Matthew John Hamilton; Braeden William Sinclair Lichti (aka Braeden Sinclair); Executive Director
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Hearing Type: Enforcement
Allegations: Manipulation/Misleading trading
Panel: Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Note: The hearing is scheduled to start on February 19, 2018. The Commission will hold a hearing management meeting on November 3, 2017 at 9:00am.
2017-11-03; Roy Ping Bai (also known as Ping Bai); RBP Consulting; Executive Director
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Hearing Type: Enforcement
Allegations: Fraud
Panel: Nigel P Cave - Chair, George C. Glover, Gordon L. Holloway
Note: Hearing concluded. The parties liability submissions are due October 27, 2017. The Panel will hear submissions on liability on November 3, 2017.
2017-11-06; 2018-01-30 - 2018-02-02; 2018-02-05; Mountainstar Gold Inc.; Brent Hugo Johnson; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission
Panel: Judith Downes - Chair, Audrey T. Ho, Don Rowlatt
Note: The Commission will hold a hearing management meeting on November 6, 2017 at 9:00am. The hearing is scheduled to start on January 30, 2018.
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Action Pending

Hearing Status Hearing Information
Action pendingDavid Tuan Seng Lim; Michael Mugford; EuroHelvetia TrustCo S.A. (now known as EHT Corporate Services S.A.; Executive Director
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Hearing Type: Enforcement
Allegations: Illegal distribution; Manipulation/Misleading trading
Panel: Nigel P Cave - Chair, Audrey T. Ho, Don Rowlatt
Note: The Panel's decision is due October 23, 2017.
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 pendingMarrelli Support Services Inc.; TSX Venture Exchange; Executive Director
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Hearing Type: Review
Allegations:
Panel: Audrey T. Ho - Chair, Nigel P Cave, Suzanne K Wiltshire
Note: Marrelli Support Services Inc. has requested a review of the TSX Venture Exchange decision dated March 28, 2017. On August 22, 2017, the TSXV filed an application to quash Marrelli's application for a review hearing. The Commission will hold a hearing in writing on the TSXV preliminary application in advance of a review hearing. The Panel's ruling is due October 23, 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: Hearing concluded. The Panel's findings are due October 13, 2017.
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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:
Reciprocal orderRene Joseph Branconnier; 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 concludedCAAS Mining Corporation; Kenneth William Trociuk; Executive Director
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Hearing Type: Enforcement
Allegations: False or misleading statements to the commission; Illegal distribution
Panel: Nigel P Cave - Chair, George C. Glover, Gordon L. Holloway
Note: Hearing completed. The panel issued its findings on September 25, 2017.
Matter concludedJames A. Michie; TSX Venture Exchange; Executive Director
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Hearing Type: Review
Allegations:
Panel:
Note: On April 27, 2017, Mr. Michie applied to the Commission for a review of the TSX Venture Exchange's decision dated March 28, 2017. On September 20, 2017, Mr. Michie withdrew his application for review.
Matter concludedKeith Henry Alexander; Executive Director
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Hearing Type: Enforcement
Allegations: Acting contrary to public interest; Illegal distribution
Panel: Nigel P Cave - Chair, Judith Downes, Audrey T. Ho
Note: On August 4, 2015, the Executive Director entered into a settlement agreement with the respondent and discontinued proceedings against him. On May 11, 2016 the BCSC posted a Notice that funds had been received pursuant to a s. 161(1)(G) Order. On November 3, 2016, the Commission received an application under s. 15.1 of the Act. On December 9, 2016, the Panel heard submissions and granted the application. On March 9, 2017, the Panel issued its Reasons for Decision
Matter concludedMarcel Anil Rada; 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 Commission issued its decision.
Matter concludedRandi 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 Commission issued its decision.

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.
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. The respondent has not filed his application.