DISCIPLINED PERSONS LIST
[Print]
| Name | Maxwell, Don |
|---|---|
| Date of Order or Settlement | August 30, 2011 |
| Date of Prior Decision or Settlement | 1996-02-26 |
| Banned Until | August 30, 2016 |
| Sanction |
5-year trading ban with conditions (2011) 5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011) 5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (2011) 5-year investor relations ban (2011) 4-year director/officer ban (1996) |
| Payment Agreed / Ordered |
$2,000 (1996) $7,000 (2011) |
| Violation |
Unregistered trading (2011) Unregistered trading (1996) Unregistered distribution (1996) Prohibited representations (1996) |
| Ruling Body | BCSC |
| Supporting Documents |
News Release - August 31, 2011 Order - August 30, 2011
|
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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