DISCIPLINED PERSONS LIST

Name Katz, Andrew Sim
Date of Order or Settlement December 22, 1999
Banned Until December 22, 2007
Sanction

8-year trading ban with conditions

8-year director/officer ban with conditions

8-year investor relations ban

3-year withdrawal of Exchange approval (VSE)

Permant withdrawal of approval as a VCT Trader (VSE)

24 months strict supervision if approval regained and employment with a member of the Exchange is secured (VSE)

Payment Agreed / Ordered

$150,000 fine (VSE)

$100,000 disgorgements of profits and commissions (VSE)

$100,000 in costs (VSE)

Violation Stock manipulation
Ruling Body BCSC, Vancouver Stock Exchange (VSE)
Supporting Documents Settlement/Order New window
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