Enforcement

Disciplined List

Sears, Thomas Joseph

Date of Order or Settlement:

2011-06-21
Banned Until:

2031-06-21

Sanction:

20-year ban from purchasing and trading in securities or exchange contracts
20-year director/officer ban
20-year ban from becoming or acting as a registrant, investment fund manager or promoter
20-year ban from acting in a management or consultative capacity in connection with activities in the securities market
20-year ban investor relations ban

Supporting Documents:

Violation:

Illegal distribution
Misrepresentations
Telephoning residences for the purpose of trading

Ruling Body:

BCSC

Payment Agreed/Ordered:

$1,895,500 in disgorgement and a $1.9 million administrative penalty