No. G-10/93
- General

Hearings and Prosecutions - First Quarter 1993

Prosecutions

There were four agent prosecutions this past quarter.  These were disposed of as follows:

Gwendolina Botchey pleaded guilty in provincial court on January 26, 1993 to a charge of providing false or incomplete information to the Ontario Insurance Commission in her application for renewal of her life insurance agent's licence.  Ms. Botchey indicated she  planned to earn a living solely from selling insurance.  It was later discovered that Ms. Botchey worked at the Toronto-Dominion Bank from 1980 until March 1992.  She was fined $500.  Ms. Botchey is not currently licensed.

Richard Buchan pleaded guilty in provincial court on February 16, 1993 to a charge of providing false and incomplete information to the Ontario Insurance Commission in his application for a life insurance agent's licence.  Mr. Buchan didn't disclose a recent bankruptcy; that he held a current mortgage brokers' licence; that he had been a mortgage broker for a number of years, and that he intended to continue to engage in work other than that of a life insurance agent.  He was fined $1,000.  Mr. Buchan didn't pursue his application for a licence.

Ronulfo Valencia pleaded guilty in provincial court on February 16, 1993 to two counts of providing false or incomplete information to the Ontario Insurance Commission.  In his application for a life insurance agent's licence and on three subsequent applications for renewal, he said he planned to earn a living solely from selling insurance.  It was later discovered that Mr. Valencia was a full time employee of Bell Canada.  He was fined $800 on each count.  Mr. Valencia is not currently licensed.

Stephen Thompson pleaded guilty in provincial court on March 30, 1993 to providing false information to the Ontario Insurance Commission in his application for a life insurance agent's licence.  Mr. Thompson failed to disclose five 1969 convictions for uttering a forged document, four 1982 convictions for uttering a forged document, and a 1984 conviction for theft under $200.  He was fined $750.  An Advisory Board Hearing has been sceduled at Mr. Thompsons request to determine his suitability for a licence.

Hearings

An advisory board assists the Superintendent of Insurance in determining the granting or refusal of a new licence or the possible revocation or suspension of an existing licence.  The board considers evidence presented by the applicant or agent as well as that put forward by counsel for the Commission.

Two hearings took place this past quarter.  In one case the board recommended in favour of the applicant.  The other case was disposed of as follows:

Joan Richardson's licence application was refused.  Her suitability was questioned because of a disclosed 1992 criminal conviction for break, enter and theft.  On March 18, 1993, the Superintendent accepted the advisory board report and refused the application.  Ms. Richardson had unlawfully entered her former employer's office on several occasions and used the photocopier for her personal use.  She charged the cost to one of the employer's clients.  Her probation period lasts another year.   

Commissioner
Donald C. Scott

May 19, 1993