DISCIPLINED PERSONS LIST

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

Settlement - August 29, 2011 New window

Order - August 30, 2011New window

Settlement/Order New window

Disclaimer:
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.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.