Katz, Andrew Sim

Date of Order or Settlement:
1999-12-22
Banned Until:
2007-12-22
Sanction:

    8-year trading ban with conditions

    8-year director/officer ban with conditions

    8-year investor relations ban

    3-year withdrawal of Exchange approval (VSE)

    Permant withdrawal of approval as a VCT Trader (VSE)

    24 months strict supervision if approval regained and employment with a member of the Exchange is secured (VSE)

Supporting Documents:
Violation:
    Stock manipulation
Ruling Body:
BCSC, Vancouver Stock Exchange (VSE)
Sanction Payment Status:

$150,000 fine (VSE)

$100,000 disgorgements of profits and commissions (VSE)

$100,000 in costs (VSE)