Settlements
Richard Thomas Speiss [Sec. 144 ]
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BCSECCOM #:
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Document Type:
Sec. 144
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Published Date:
1992-04-03
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Effective Date:
1992-03-26
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Details:
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IN THE MATTER OF The Securities Act, S.B.C. 1985, c. 83
AND IN THE MATTER OF Richard Thomas Speiss
Order Under Section 144
W.D. Nesmith
March 26, 1992
ORDER:-- WHEREAS an Agreed Statement of Facts and Undertaking was executed by Richard Thomas Speiss ("Speiss") and the Superintendent of Brokers (the "Superintendent"), a copy of which is attached hereto as Schedule "A";
NOW THEREFORE the Superintendent, considering that it would be in the public interest to do so, orders, BY CONSENT, that pursuant to section 144(1)(c) of the Securities Act, S.B.C. 1985, c. 83 (the "Act") the exemptions described in sections 30 to 32, 55, 58, 80 and 81 of the Act do not apply to Speiss for a period of three months from the date of this order;
W.D. NESMITH
Superintendent of Brokers