Case information
Conduct a refined search of the Supreme Court of Canada database to obtain details on the status of a matter before the Court.
38022
Howard Jeffrey Miller v. Ontario Securities Commission
(Ontario) (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) |
|---|---|---|
| 2019-07-26 | Close file on Leave | |
| 2019-07-26 | Certificate of taxation issued to, Jennifer M. Lynch | |
| 2019-07-26 | Decision on the bill of costs, in the amount of $540.02, Reg | |
| 2019-07-26 | Submission of the bill of costs, Reg | |
| 2019-04-12 | Bill of costs, (Letter Form), Completed on: 2019-04-12 | Ontario Securities Commission |
| 2018-12-14 | Copy of formal judgment sent to Registrar of the Court of Appeal and all parties | |
| 2018-12-14 | Judgment on leave sent to the parties | |
| 2018-12-13 |
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 Ontario, Number C63514, 2018 ONCA 61, dated January 25, 2018, is dismissed with costs. Dismissed, with costs |
|
| 2018-11-13 | All materials on application for leave submitted to the Judges, for consideration by the Court | |
| 2018-10-12 | Notice of change of solicitor, (Letter Form), Joint with 38023; Ben Grant will take over from Owen Rees as agent for the respondent. | Ontario Securities Commission |
| 2018-04-25 | Notice of name, (Letter Form) | Ontario Securities Commission |
| 2018-04-25 | Certificate (on limitations to public access), (Letter Form), Form 23B | Ontario Securities Commission |
| 2018-04-25 | Certificate (on limitations to public access), (Letter Form), Form 23A | Ontario Securities Commission |
| 2018-04-25 | Respondent's response on the application for leave to appeal, (Book Form), Join with file 38023, Completed on: 2018-04-25 | Ontario Securities Commission |
| 2018-03-26 | Letter acknowledging receipt of a complete application for leave to appeal, FILE OPENED 2018-03-26 | |
| 2018-03-22 | Certificate (on limitations to public access), Form 23B | Howard Jeffrey Miller |
| 2018-03-22 | Certificate (on limitations to public access), Form 23A | Howard Jeffrey Miller |
| 2018-03-22 | Application for leave to appeal, (Book Form), Completed on: 2018-03-22 | Howard Jeffrey Miller |
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 |
|---|---|---|
| Miller, Howard Jeffrey | Applicant | Active |
v.
| Name | Role | Status |
|---|---|---|
| Ontario Securities Commission | Respondent | Active |
Counsel
Party: Miller, Howard Jeffrey
Counsel
Iris Graham
95 Wellington Street West
Suite 1830
Toronto, Ontario
M5J 2N7
Telephone: (416) 351-2781
FAX: (416) 689-2059
Email: sbieber@agbllp.com
Agent
99 Bank Street
Suite 1420
Ottawa, Ontario
K1P 1H4
Telephone: (613) 783-9699
FAX: (613) 783-9690
Email: david.elliott@dentons.com
Party: Ontario Securities Commission
Counsel
Pamela Foy
2200-20 Queen Street West
Toronto, Ontario
M5H 3S8
Telephone: (416) 593-8152
FAX: (416) 593-8321
Email: jlynch@osc.gov.on.ca
Agent
400-411 Roosevelt Avenue
Ottawa, Ontario
K2A 3X9
Telephone: (613) 288-0149
FAX: (613) 688-0271
Email: bgrant@conway.pro
Summary
Keywords
Securities – Administrative tribunals – Ontario Securities Commission – Applicant found to have participated in insider trading and tipping scheme in contravention of s. 76 of the Securities Act, R.S.O. 1990 c. C.5 – Whether there is conflicting appellate jurisprudence on applicable standard of review where a securities commission and the courts both have jurisdiction to consider same legal question at first instance – What is necessary to satisfy requirement of constructive knowledge in s. 76(5)(e) so as to put individual in special relationship with issuer?
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.
The Ontario Securities Commission (“OSC”) initiated administrative proceedings against five individuals, including the Mr. Miller, alleging they had breached the insider trading and tipping provisions of Securities Act and had acted contrary to the public interest by recommending to family and clients the purchase of shares in a reporting issuer, Masonite International Corporation (“Masonite”). The OSC alleged Mr. Miller stood in a special relationship with Masonite and had informed another person of a material fact with respect to the issuer before the material fact had been generally disclosed. The OSC alleged the material, non-public information about Masonite flowed through a chain of five people, originating with a mergers and acquisitions lawyer who was working on a takeover bid involving Masonite. The OSC Panel found that the five individuals had engaged in insider trading and tipping and imposed sanctions. Its decision was upheld on appeal to the Divisional Court and again by the Court of Appeal.
Lower court rulings
Ontario Securities Commission
Panel finding applicant had engaged in insider trading and tipping. Applicant ordered, inter alia, to pay administrative penalty of $450,000 and costs
Ontario Superior Court of Justice
2016 ONSC 7508, 478/15, 479/15, 480/15, 479/15
Applicant’s appeal dismissed
Court of Appeal for Ontario
C63514, 2018 ONCA 61
Applicant’s appeal dismissed
Filed documents
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 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 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.
Downloadable PDFs
Not available
Related links
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.
Downloadable PDFs
Not available
Related links
The condensed books of the appellant, the respondent and the intervener will be posted here upon receipt of the electronic version, 2 days prior to the scheduled appeal hearing. You may also obtain copies of condensed books 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 condensed book or want permission to use a condensed book, please contact the author of the condensed book directly. Their contact information appears on the first page of each condensed book.
Downloadable PDFs
Not available