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BCSC panels reciprocate ASC, NBSC, and OSC enforcement orders

  • Date:

    2010-02-03

  • Number:

    2010/07

Vancouver - British Columbia Securities Commission panels have reciprocated enforcement orders against eight individuals sanctioned by securities commissions in Alberta, New Brunswick and Ontario.

The Alberta Securities Commission imposed sanctions against Gordon Trainor New window and Roger A. Kimmel New window in settlement agreements in May 2009. BCSC panels reciprocated the ASC enforcement orders against the two individuals, banning them from participating in B.C.’s capital markets.

The New Brunswick Securities Commission imposed sanctions against Michael Cody and Donald Nason New window in a decision in April 2009. The NBSC also imposed sanctions against Barry Adams New window in a settlement agreement in March 2009. BCSC panels reciprocated NBSC enforcement orders against the three individuals, banning them from participating in B.C.’s capital markets.

The Ontario Securities Commission imposed sanctions against Gord McQuarrie New window, John R. Miszuk New window, and Matthew Scott Sinclair New window in settlement agreements between May 2008 and April 2009. BCSC panels reciprocated OSC enforcement orders against the three individuals, banning them from participating in B.C.’s capital markets.

For more information on the BCSC orders or the ASC, NBSC, or OSC decisions and sanctions, search for the individual’s name at www.bcsc.bc.ca, www.albertasecurities.com New window, www.nbsc-cvmnb.ca New window, or www.osc.gov.on.ca New window.

The B.C. Securities Commission is the independent provincial government agency responsible for regulating trading in securities within the province. If you have questions, contact Ken Gracey, media relations, 604-899-6577.

Learn how to avoid investment fraud at the BCSC's investor education website: www.investright.org New window.