OFST 2024

The respondent brought a motion for summary dismissal after the self-represented applicants missed two scheduled pre-hearing conferences without notice.

The Tribunal issued a Notice of Intention to Dismiss.

The applicants subsequently provided doctor's notes and written submissions explaining the absences.

The Tribunal found it just to provide the applicants with another opportunity to proceed toward a hearing, dismissing the motion on the condition that the applicants attend future scheduled events and meet deadlines.

The applicant filed a request for a hearing to challenge a Notice of Proposal to impose a $20,000 administrative penalty for paying compensation to a non-licensee.

After a history of adjournments and failures to attend pre-hearing conferences, the applicant failed to attend the scheduled hearing, which had been set peremptory on him.

The Financial Services Tribunal applied Rule 35.01 of its Rules of Practice and Procedure to dismiss the proceeding without further hearing and without notice, ordering the CEO to carry out the Notice of Proposal.

The Respondent brought two motions to consolidate proceedings before the Financial Services Tribunal.

The first motion sought to combine separate proceedings initiated by the applicants in response to a second Notice of Proposal (NOP2).

The second motion sought to combine the consolidated NOP2 proceeding with an earlier proceeding relating to a first Notice of Proposal (NOP1).

The Tribunal granted the first motion, finding significant commonality of facts and law among the NOP2 applicants.

The Tribunal dismissed the second motion, finding little commonality between NOP1 and NOP2, and noting that combining them would cause prejudice and undue delay to the NOP1 proceeding.