Case information
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34593
Patricia McLean v. Executive Director of the British Columbia Securities Commission
(British Columbia) (Civil) (By Leave)
Docket
Judgments on applications for leave to appeal are rendered by the Court, but are not necessarily unanimous.
| Date | Proceeding | Filed By (if applicable) |
|---|---|---|
| 2013-12-17 | Appeal closed | |
| 2013-12-06 | Formal judgment sent to the registrar of the court of appeal and all parties | |
| 2013-12-06 | Judgment on appeal and notice of deposit of judgment sent to all parties | |
| 2013-12-05 |
Judgment on the appeal rendered, LeB F Ro Cro Mo Ka Wa, The appeal from the judgment of the Court of Appeal for British Columbia (Vancouver), Number CA038196, 2011 BCCA 455, dated November 10, 2011, heard on March 21, 2013, is dismissed with costs. Dismissed, with costs |
|
| 2013-04-05 | Transcript received, (107 pages) | |
| 2013-03-21 | Judgment reserved OR rendered with reasons to follow | |
| 2013-03-21 |
Hearing of the appeal, 2013-03-21, LeB F Ro Cro Mo Ka Wa Judgment reserved |
|
| 2013-03-21 | Acknowledgement and consent for video taping of proceedings, All parties consented | |
| 2013-03-21 | Intervener's condensed book, (Book Form), Filed in Court | Ontario Securities Commission |
| 2013-03-21 | Respondent's condensed book, (Book Form), Filed in Court | Executive Director of the British Columbia Securities Commission |
| 2013-03-21 | Appellant's condensed book, (Book Form), Filed in Court | Patricia McLean |
| 2013-03-18 | Correspondence received from, 4 reserved seats requested | Ontario Securities Commission |
| 2013-03-15 | Reply factum on appeal, (Book Form), Completed on: 2013-03-18 | Patricia McLean |
| 2013-03-14 | Order on motion to strike out, (by CROMWELL J.) | |
| 2013-03-14 |
Decision on motion to strike out, Cro, UPON APPLICATION by the appellant for an order striking paragraphs 32 to 36 and paragraph 37 of the factum of the intervener, the Ontario Securities Commission, or alternatively leave to file a reply factum of up to 5 pages. AND THE MATERIAL FILED having been read; IT IS HEREBY ORDERED THAT: The application by the appellant to strike paragraphs 32 to 36 and paragraph 37 of the Ontario Securities Commission factum and the application to file the affidavit of Patricia McLean sworn March 11, 2013, as reply evidence are dismissed without costs. The application by the appellant in the alternative to file a reply factum of up to 5 pages as per the draft filed at Tab 7 of the motion material is granted without costs. The reply factum is to be served and filed no later than 12:00 noon on Monday March 18, 2013 Allowed in part, without costs |
|
| 2013-03-14 | Submission of motion to strike out, Cro | |
| 2013-03-14 | Correspondence received from, 4 reserve seats requested | Financial Advisors Association of Canada |
| 2013-03-14 | Notice of appearance, Lou Brzezinski and John Polyzogopoulos will be appearing | Financial Advisors Association of Canada |
| 2013-03-14 | Response to motion to strike out, (Letter Form), Rec'd from Gowlings by fax dated Mar. 13/13 re: support the position of the OSC (cc. to all parties), Completed on: 2013-03-14 | Executive Director of the British Columbia Securities Commission |
| 2013-03-13 | Notice of appearance, Johanna M. Superina and Usman M. Sheikh will be appearing, Ms. Superina will present oral argument | Ontario Securities Commission |
| 2013-03-13 | Response to motion to strike out, (Letter Form), Rec'd from the Commission dated Mar. 13/13 re: oppose to motion (cc. to all parties) - service rec'd Mar. 14/13, Completed on: 2013-03-13 | Ontario Securities Commission |
| 2013-03-12 | Motion to strike out, (Book Form), paragraphs 32-36 and 37 of the factum of the intervener the Ontario Securities Commission or alternatively leave to file a reply factum of up to 5 pages, Completed on: 2013-03-12 | Patricia McLean |
| 2013-03-11 |
Order by, F, FURTHER TO THE ORDER dated January 31, 2013, granting leave to intervene to the Ontario Securities Commission and the Financial Advisors Association of Canada; IT IS HEREBY FURTHER ORDERED THAT the Ontario Security Commission is granted permission to present oral argument not exceeding ten (10) minutes at the hearing of the appeal. AND IT IS HEREBY FURTHER ORDERED THAT the Financial Advisors Association of Canada is granted permission to present oral argument not exceeding five (5) minutes at the hearing of the appeal. Allowed in part, no order as to costs |
|
| 2013-03-11 | Correspondence received from, Jeffrey Beedell dated Mar. 11/13 and rec'd by fax re: Motion to strike will be filed by Mar. 12/13 | Patricia McLean |
| 2013-03-08 | Intervener's book of authorities, (Book Form), Completed on: 2013-03-08 | Ontario Securities Commission |
| 2013-03-08 | Intervener's factum, (Book Form), Completed on: 2013-03-08 | Ontario Securities Commission |
| 2013-03-06 | Intervener's book of authorities, (Book Form), Completed on: 2013-03-06 | Financial Advisors Association of Canada |
| 2013-03-06 | Intervener's factum, (Book Form), Completed on: 2013-03-06 | Financial Advisors Association of Canada |
| 2013-03-06 | Notice of appearance, Stephen M. Zolnay will be appearing | Executive Director of the British Columbia Securities Commission |
| 2013-03-05 | Notice of appearance, Christopher H. Wirth and Fredrick Schumann will be appearing and Mr. Wirth will make oral submission | Patricia McLean |
| 2013-01-31 | Order on motion for leave to intervene, (BY FISH J.) | |
| 2013-01-31 |
Decision on the motion for leave to intervene, F, UPON APPLICATIONS by the Financial Advisors Association of Canada and the Ontario Securities Commission for leave to intervene in the above appeal; AND THE MATERIAL FILED having been read; IT IS HEREBY ORDERED THAT: The motion for leave to intervene of the Ontario Securities Commission is granted and the said intervener shall be entitled to serve and file a factum not to exceed 12 pages in length on or before March 8, 2013. The motion for leave to intervene of the Financial Advisors Association of Canada is granted and the said intervener shall be entitled to serve and file a factum not to exceed 6 pages in length on or before March 8, 2013. The request to present oral argument is deferred to a date following receipt and consideration of the written arguments of the parties and the interveners. The interveners are not entitled to raise new issues or to adduce further evidence or otherwise to supplement the record of the parties. Pursuant to Rule 59(1)(a) of the Rules of the Supreme Court of Canada, the interveners shall pay to the appellant and respondent any additional disbursements occasioned to the appellant and respondent by their interventions Granted |
|
| 2013-01-31 | Submission of motion for leave to intervene, F | |
| 2013-01-31 | Appeal perfected for hearing | |
| 2013-01-29 | Respondent's book of authorities, (Book Form), Completed on: 2013-01-29 | Executive Director of the British Columbia Securities Commission |
| 2013-01-29 | Respondent's factum, (Book Form), Completed on: 2013-01-29 | Executive Director of the British Columbia Securities Commission |
| 2013-01-17 | Reply to the motion for leave to intervene, (Letter Form), from Johana Superina dated Jan. 17/13, Completed on: 2013-01-17 | Ontario Securities Commission |
| 2013-01-10 | Response to the motion for leave to intervene, (Letter Form), from Christopher Wirth dated Jan. 10/13 (by both interveners), Completed on: 2013-01-10 | Patricia McLean |
| 2012-12-21 | Response to the motion for leave to intervene, (Letter Form), Henry S. Brown, Q.C. dated Dec. 21/12, Completed on: 2012-12-21 | Executive Director of the British Columbia Securities Commission |
| 2012-12-14 | Motion for leave to intervene, (Book Form), Completed on: 2012-12-14 | Ontario Securities Commission |
| 2012-12-13 | Motion for leave to intervene, (Book Form), Completed on: 2012-12-13 | Financial Advisors Association of Canada |
| 2012-12-12 | Notice of hearing sent to parties | |
| 2012-11-22 |
Appeal hearing scheduled, 2013-03-21, (Early start time, 9am) Judgment reserved |
|
| 2012-11-16 | Appellant's book of authorities, Completed on: 2012-11-16 | Patricia McLean |
| 2012-11-16 | Appellant's record, Completed on: 2012-11-16 | Patricia McLean |
| 2012-11-16 | Appellant's factum, Completed on: 2012-11-16 | Patricia McLean |
| 2012-08-24 | Notice of appeal, Completed on: 2012-08-24 | Patricia McLean |
| 2012-07-04 | Letter advising the parties of tentative hearing date and filing deadlines (Leave granted) | |
| 2012-06-29 | Copy of formal judgment sent to Registrar of the Court of Appeal and all parties | |
| 2012-06-29 | Judgment on leave sent to the parties | |
| 2012-06-28 |
Judgment of the Court on the application for leave to appeal, The application for leave to appeal from the judgment of the Court of Appeal for British Columbia (Vancouver), Number CA038196, 2011 BCCA 455, dated November 10, 2011, is granted without costs. Granted, without costs |
|
| 2012-04-30 | All materials on application for leave submitted to the Judges, CJ Ro Mo | |
| 2012-03-05 | Correspondence received from, Christopher Wirth dated March 5, 2012 re: reasons for decision not included in the application | Patricia McLean |
| 2012-02-14 | Applicant's reply to respondent's argument, Completed on: 2012-02-14 | Patricia McLean |
| 2012-02-07 | Respondent's response on the application for leave to appeal, Completed on: 2012-02-07 | Executive Director of the British Columbia Securities Commission |
| 2012-01-10 | Letter acknowledging receipt of a complete application for leave to appeal but without formal Court of Appeal order | |
| 2012-01-09 | Application for leave to appeal, Court of appeal order missing, rec'd Feb 13, 2012, Completed on: 2012-02-13 | Patricia McLean |
Parties
Please note that in the case of closed files, the “Status” column reflects the status of the parties at the time of the proceedings. For more information about the proceedings and about the dates when the file was open, please consult the docket of the case in question.
Main parties
| Name | Role | Status |
|---|---|---|
| McLean, Patricia | Appellant | Active |
v.
| Name | Role | Status |
|---|---|---|
| Executive Director of the British Columbia Securities Commission | Respondent | Active |
Other parties
| Name | Role | Status |
|---|---|---|
| Financial Advisors Association of Canada | Intervener | Active |
| Ontario Securities Commission | Intervener | Active |
Counsel
Party: McLean, Patricia
Counsel
Fredrick Schumann
Royal Trust Tower, 77 King St., Ste 4130
PO Box 140, Stn. Toronto-Dominion
Toronto, Ontario
M5K 1H1
Telephone: (416) 593-2496
FAX: (416) 593-9345
Email: chrisw@stockwoods.ca
Agent
50 O'Connor Street
Suite 300
Ottawa, Ontario
K1P 6L2
Telephone: (613) 232-7171 Ext: 122
FAX: (613) 231-3191
Email: jeff.beedell@mcmillan.ca
Party: Executive Director of the British Columbia Securities Commission
Counsel
P.O. Box 10142, LCD Pacific Centre
701 Georgia St. W.
Vancouver, British Columbia
V7Y 1L2
Telephone: (604) 899-6874
FAX: (604) 899-6506
Email: szolnay@bcsc.bc.ca
Agent
2600 - 160 Elgin St
P.O. Box 466, Stn "D"
Ottawa, Ontario
K1P 1C3
Telephone: (613) 233-1781
FAX: (613) 788-3433
Email: henry.brown@gowlings.com
Party: Financial Advisors Association of Canada
Counsel
John Polyzogopoulos
1500 - 2 Queen Street East
Toronto, Ontario
M5C 3G5
Telephone: (416) 593-2952
FAX: (416) 593-5437
Email: lbrzezinski@blaney.com
Agent
300 - 55 Metcalfe Street
Ottawa, Ontario
K1P 6L5
Telephone: (613) 236-1751
FAX: (877) 268-0105
Email: lpgregoire@heenan.ca
Party: Ontario Securities Commission
Counsel
Usman M. Sheikh
1900 - 20 Queen Street West
Toronto, Ontario
M5H 3S8
Telephone: (416) 204-8986
FAX: (416) 593-2319
Email: jsuperina@osc.gov.on.ca
Agent
100- 340 Gilmour Street
Ottawa, Ontario
K2P 0R3
Telephone: (613) 695-8855 Ext: 102
FAX: (613) 695-8580
Email: mfmajor@supremeadvocacy.ca
Summary
Keywords
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Summary
Case summaries are prepared by the Office of the Registrar of the Supreme Court of Canada (Law Branch). Please note that summaries are not provided to the Judges of the Court. They are placed on the Court file and website for information purposes only.
Legislation Interpretation Limitation of Actions Interpretation of ss. 159, 161(6), and 161(6) of the Securities Act, R.S.B.C. 1996, c. 418 Whether the event giving rise to proceedings for the purposes of s. 159 was entering into a settlement agreement in Ontario or the conduct in Ontario giving rise to the settlement agreement.
On September 8, 2008, the appellant entered into a settlement agreement with the Ontario Securities Commission in respect to allegations of acts contrary to the public interest between May 2000 and March 2001. On January 14, 2010, the Executive Director of the British Columbia Securities Commission gave notice to the appellant of an application for an order in the public interest under s. 161(6)(d) of the Securities Act, R.S.B.C. 1996, c. 418. Section 159 of the Securities Act states that action “must not be commenced more than 6 years after the date of the events that give rise to the proceedings”. The appellant provided a written submission in part challenging the application on the basis that the limitation period had expired. No oral hearing was requested or held. The British Columbia Securities Commission issued a public interest order placing restrictions on the appellant.
Lower court rulings
British Columbia Securities Commission
2010 BCSECCOM 262
Order that until September 8, 2013: applicant shall cease trading in, and be prohibited from purchasing, securities and exchange contracts (with exceptions); any or all of the exemptions set out in the regulations do not apply to the applicant; applicant is prohibited from becoming or acting as a director or officer of a reporting issuer or registrant.
Court of Appeal for British Columbia (Vancouver)
CA038196, 2011 BCCA 455
Applicant’s appeal allowed
Memorandums of argument on application for leave to appeal
The memorandums of argument on an application for leave to appeal will be posted here 30 days after leave to appeal has been granted unless they contain personal information, information that is subject to a publication ban, or any other information that is not part of the public record. You may also obtain copies of the memorandum by filing out the Request for Court records form or by contacting the Court’s Records Centre either by email at records-dossiers@scc-csc.ca or by telephone at 613‑996‑7933 or at 1‑888‑551‑1185.
If you have questions about a memorandum of argument or want to use a memorandum of argument, please contact the author of the memorandum of argument directly. Their name appears at the end of the memorandum of argument. The contact information for counsel is found in the “Counsel” tab of this page.
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Related links
Factums on appeal
The factums of the appellant, the respondent and the intervener will be posted here at least 2 weeks before the hearing unless they contain personal information, information that is subject to a publication ban, or any other information that is not part of the public record. You may also obtain copies of factums by filling out the Request for Court records form or by contacting the Court’s Records Centre either by email at records-dossiers@scc-csc.ca or by telephone at 613‑996‑7933 or at 1‑888‑551‑1185.
If you have questions about a factum or want permission to use a factum, please contact the author of the factum directly. Their contact information appears on the first page of each factum.
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