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Enforcement

Disciplined List

Knight, Michael Jerome

  • Date of Order or Settlement:

    2015-02-23

Sanction:

  • Permanent ban from purchasing and trading in securities or exchange contracts (with conditions) (2015)
  • Permanent director/officer ban (2015)
  • Permanent ban from becoming or acting as a promoter (2015)
  • Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market (2015)
  • Permanent investor relations ban (2015)
  • 3-year trading ban with conditions (2004)
  • 3-year director/officer ban with conditions (2004)
  • 3-year investor relations ban (2004)
  • An undertaking to comply with the Securities Act and the Securities Rules (2004)
  • An undertaking not to apply for registration for three years (2004)

Supporting Documents:

Violation:

  • Fraud (2014)
  • Illegal distribution (2014)
  • Breach of Order (2014)
  • Illegal distribution (2004)
  • Unregistered trading (2004)
  • Failure to fulfill the duties and responsibilities of a director (2004)
  • Acting contrary to the public interest (2004)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$3,625,000 in disgorgement (Varied (Stayed) – January 15, 2018) plus a $300,000 administrative penalty (2015)

$11,000 plus $4,000 in costs (2004)