Disciplined List
Mitton, Michael Lee
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Date of Order or Settlement:
2005-09-29
Sanction:
- Permanent trading ban (2005)
- Permanent denial of exemptions (2005)
- Permanent director/officer ban (2005)
- Permanent investor relations ban (2005)
- 20-year trading ban (1988)
- 20-year director/officer ban (1988)
Supporting Documents:
Violation:
- Fraud (2005)
- Unregistered advising (2005)
- Unregistered trading (2005)
- Illegal distribution (2005)
- Making undeclared short sales (2005)
- Breach of a Commission Order (2005)
- Acting contrary to the public interest by manipulating the market (2005)
- Stock Manipulation (1988)
- Insider Trading (1988)
- Failure to File Disclosure Documents (1998)
Ruling Body:
BCSCPayment Agreed/Ordered:
$250,000 plus $235,577.20 in costs (2005)
$5,000 in costs (1988)