DISCIPLINED PERSONS LIST
[Print]
| 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 
|
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