Disciplined List
Katz, Andrew Sim
-
Date of Order or Settlement:
1999-12-22 -
Banned Until:
2007-12-22
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)
Supporting Documents:
Violation:
-
Stock manipulation
Ruling Body:
BCSC, Vancouver Stock Exchange (VSE)Payment Agreed/Ordered:
$150,000 fine (VSE)
$100,000 disgorgements of profits and commissions (VSE)
$100,000 in costs (VSE)