DISCIPLINED PERSONS LIST

Name Baker, James Woodrow
Date of Order or Settlement May 14, 2010
Banned Until October 20, 2014
Sanction

5-year director/officer ban

Payment Agreed / Ordered

$15,000 (ASC)

$9,000 in costs (ASC)

Violation

Illegal distribution (ASC)

Prohibited Representations (ASC)

Acting contrary to the public interest (ASC)

Ruling Body BCSC, Alberta Securities Commission
Supporting Documents Reciprocal Order New window
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