Broers, Daren M.

Date of Order or Settlement:
2009-07-07
Banned Until:
2019-01-16
Sanction:

    10-year ban from trading and purchasing securities and exchange contracts, with conditions

    10-year ban from trading and purchasing exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act, with conditions

    10-year ban from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager, with conditions

    10-year ban from becoming or acting as a registrant, investment fund manager or promoter

    10-year ban from from acting in a management or consultative capacity in connection with activities in the securities market

    10-year ban from engaging in investor relations activities

Supporting Documents:
Violation:

    Illegal distribution (ASC)

    Acting contrary to the public interest (ASC)

Ruling Body:
BCSC, Alberta Securities Commission (ASC)
Sanction Payment Status:
$40,000 plus $10,000 in costs (ASC)