Cody, Michael

Date of Order or Settlement:
2010-01-25
Banned Until:
Sanction:

    Permanent ban from purchasing and trading in securities or exchange contracts with conditions (BCSC)

    Permanent director/officer ban (BCSC)

Supporting Documents:
Violation:

    Unregistered trading (NBSC)

    Failure to file a prosepectus (NBSC)

    Misrepresentations to investors (NBSC)

    Misrepresentations to staff (NBSC)

Ruling Body:
BCSC, New Brunswick Securities Commission (NBSC)
Sanction Payment Status:
$50,000 (NBSC)