Order: In the Matter of Alvin Jones

Order
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IN THE MATTER OF
ALVIN JONES

M. Cecilia Williams, Commissioner and Chair of the Panel

File No. 2021-5

March 11, 2021

ORDER

WHEREAS on March 11, 2021, the Ontario Securities Commission held a hearing by teleconferencein relation to the application brought by Alvin Jones (Jones) (the Application) to review a decision of the Investment Industry Regulatory Organization of Canada (IIROC) dated December 10, 2020;

ON READING the Application and on hearing the submissions of the representatives for Jones, Staff of the IIROC and Staff of the Commission;

IT IS ORDERED THAT:

  1. Jones shall serve and file the record of the original proceeding by 4:30 p.m. on
    April 13, 2021;
  2. by 4:30 p.m. on April 23, 2021: 
    1. the parties shall give notice of any intention to rely on documents or things not included in the record of the original proceeding, and shall disclose such documents or things; and
    2. the parties shall serve and file witness lists, and serve summaries of the anticipated evidence of any witnesses, and give notice of any intention to call an expert witness; and
  3. a further attendance in this proceeding is scheduled for April 28, 2021 at 10:00 a.m., by teleconference, or on such other dates or times as may be agreed to by the parties and set by the Office of the Secretary.

 

" M. Cecilia Williams "
M. Cecilia Williams