DISCIPLINED PERSONS LIST

Name Kain, Ross
Date of Order or Settlement June 2, 1999
Banned Until June 2, 2001
Sanction

2-year trading ban

2-year director/officer ban

2-year investor relations ban

An undertaking to comply fully with the provisions of the Securities Act and Securities Rules

Payment Agreed / Ordered $1,000 in costs
Violation

Unregistered advising

Prohibited representations

Ruling Body BCSC
Supporting Documents News Release - September 14, 2000

Related Decision - September 12, 2000 New window

Settlement/Order - June 2, 1999  New window

Notice of Hearing - May 7, 1999 New window

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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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